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FINRA details 2017 examination priorities

Joe Mont | January 5, 2017

The Financial Industry Regulatory Authority has released its annual “Regulatory and Examination Priorities Letter,” a rundown of areas it plans to review in 2017 exams.

A common thread running throughout the letter is a focus on core “blocking and tackling” issues of compliance, supervision, and risk management, FINRA President and CEO Robert Cook wrote in an introduction. Starting this year, it will publish a summary report that outlines key findings from examinations in selected areas. The document will alert firms to what FINRA is seeing from a national perspective and serve as an additional tool firms can use to strengthen the control environment for their business.

In 2017, FINRA will also introduce a “compliance calendar” and a directory of compliance service providers as tools to assist firms, in particular smaller entities. It will also be looking for opportunities to support and help facilitate capital formation by small and emerging growth companies by...

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