Nathan, Daniel; Popken, Betsy - In: Journal of Investment Compliance 19 (2018) 1, pp. 39-41
Purpose: To explain FINRA’s priorities for 2018, as reflected in its Annual Regulatory and Examination Priorities Letter. Design/methodology/approach: Evaluates the overall tone of FINRA’s letter as self-reflective, describes most of FINRA’s priorities for 2018 as unchanged from previous...