Bates News,Bates Research,Industry News - 01-22-19

FINRA Announces 2019 Regulatory and Examination Priorities

FINRA Announces 2019 Regulatory and Examination Priorities

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

Stay tuned to Bates Research for our commentary on FINRA’s 2019 objectives and how they may impact your legal, regulatory and compliance matters.

Alert

Get Bates Group News and Alerts in your Inbox

Sign Up Now

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

Contact Bates Group
Automat:ee