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 |  01-06-16

2016 FINRA Regulatory and Examination Priorities Announced

FINRA’s 2016 Regulatory and Examination Priorities Letter identifies both new areas of focus as well as areas of recurring concern. We first address three broad issues—culture, conflicts of interest and ethics; supervision, risk management and controls; and liquidity— and then discuss more narrowly focused topics. As always, there is a tension between our desire to be brief with this letter while also addressing the many areas of potential concern that can arise across the breadth of the securities industry.

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