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FINRA Releases 2013 Regulatory and Examination Priorities Letter



by Bressler Amery Ross A Professional Corporation - Florham Park Office

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.


 

The views expressed in this document are solely the views of the author and not Martindale-Hubbell. This document is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance.
 

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