FINRA Annual Priorities LetterW. Hardy Callcott,Aileen M. Foley,Amy Kroll,Michael D. Wolk, February 8, 2012
On January 31, 2012, the Financial Industry Regulatory Authority (FINRA) issued its annual letter to member firms outlining FINRA’s 2012 Regulatory and Examination Priorities. The annual letter has grown in recent years to a current length of 16 single-spaced pages with 41 separate regulatory...