FINRA

Finra 2016 regulatory and examination priorities: proactive oversight of risk and violations is key

FINRA 2016 Regulatory and Examination Priorities: Proactive Oversight of Risk and Violations is Key On January 5, 2016, FINRA kicked off the new year by publishing the annual FINRA 2016 Regulatory and Examination Priorities letter. This year’s letter highlights three broad topics of significant importance to FINRA: (1) supervision, (2) risk management and controls, and (3) liquidity,[…]