|January 30, 2013|
Previously published on January 18, 2013
On January 11, 2013, FINRA published its annual Regulatory and Examination Priorities Letter (“Priorities Letter”) highlighting FINRA’s key focus areas for the upcoming year. The Priorities Letter, as in prior years, continues to provide firms with a high-level outline of areas of regulatory concern and is a useful aid in their internal review processes and assessments. While firms should review the Priorities Letter in full, the following is a brief outline of the issues addressed.