The Financial Industry Regulatory Authority (FINRA) recently issued its Report on Examination Findings, as well as its 2018 Regulatory and Examination Priorities Letter. Combined, these two reports provide insight into several broad policy issues that FINRA believes should be key points of emphasis for member firms in 2018. What are these points and how will they affect your business?
In this in-depth webinar, 鶹ý attorneys Dean Jeske, Allison Charney, and Joe Edmondson take a closer look at the following topics:
If you have questions or would like more information, please contact Kayla Huven at [email protected].
