FINRA Recently Announced Their 2016 Regulatory & Examination Priorities

FINRA Recently Announced Their 2016 Regulatory & Examination Priorities

Jan 12, 2016 | Banking and Financial Services, FINRA, Public Policy, Risk

FINRA recently published its 11th annual Regulatory and Examination Priorities Letter to highlight both emerging and existing risks that could adversely affect investors and market integrity in 2016, if not properly addressed.

They reported that issues that they highlighted in last year remain a concern for them in 2016.

To learn more about the publication, click here.

To read and download the PDF of the letter, click here.

View all posts by


Sign up for our Newsletter

Learn about upcoming events, special offers from our partners and more.

Sub Topics

This site uses cookies

Please note that on our website we use cookies necessary for the functioning of our website, cookies that optimize the performance.
To learn more about our cookies, how we use them and their benefits, please read our Cookie Policy and Privacy Policy.