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