01-10-17
FINRA 2017 Priorities: Regulator Moves Away From “Culture Of Compliance”
Last week FINRA released its Regulatory and Examination Priorities Letter for 2017. The letter outlined fewer priorities than in previous years, and it gives a more tangible set of marching orders than firms have received in at least two years. We will examine the major themes of some of these changes below, rather than focusing on those aspects of the letter that are continuations of previous enforcement agendas.