Bates Research,Compliance and Regulatory Alerts - 01-08-18

2018 FINRA Priorities Announced

FINRA has announced their regulatory and examination priorities for the upcoming year. You can read the letter, with an introduction by CEO Robert Cook, here.

Stay tuned to Bates Research for our commentary on FINRA’s 2018 objectives and how they may impact your legal, regulatory and compliance matters.

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