Archive for January 2018

Not Fake News: FINRA 2018 Priorities

Adaptions and “CliffsNotes” version of FINRA 2018 Priorities. All opinions are my views and do not necessarily reflect FINRA guidance. My recommendations offer proactive advice to address FINRA priorities in anticipation of a FINRA examination, sweep letter or inquiry. I adjusted the topic structure to emphasize the priorities that I believe are newer, difficult to…Read More