FINRA’S EXAMINATION FINDINGS
Recently, the Financial Industry Regulatory Authority (“FINRA”) released a report detailing its observations from its cycle examination program. FINRA hopes the report will assist broker-dealers in strengthening their compliance with securities rules and regulations. FINRA noted that the report does not represent a complete inventory of observations about the industry as a whole, does not imply that any issues discussed exist at any particular firms, and should not be read as creating new legal or regulatory requirements or new interpretations of existing Read More…