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  • FINRA’s Top 5 Exam Priorities for 2017

    January 6, 2017 Comments (0) Blog

    FINRA has just released its Annual Regulatory and Examination Priorities Letter, which highlights areas the regulator will focus on in its 2017 exam, such as advisors with repeat offenses and other misconduct. As in previous years, the 2017 letter emphasizes the main issues of compliance, supervision and risk

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