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FINRA Releases 2014 Regulatory and Exam Priorities

Joe Mont | January 3, 2014

The Financial Industry Regulatory Authority this week issued a letter that details its regulation and examination priorities for the New Year.

In the advisory, FINRA addresses topics related to business conduct, fraud, financial and operational concerns, and market regulation priorities. “We encourage firms to use this guidance along with their own analysis to enhance their programs as we will be examining for strong controls and robust compliance efforts in these areas," said Susan Axelrod, FINRA's executive vice president of regulatory operations, in a statement.

Recidivist Brokers

FINRA will continue to look closely at brokers with a pattern of complaints or disclosures for sales practice abuses.

Early last year, FINRA launched a High Risk Broker...

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