FINRA provides early guidance about Its exam priorities

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FINRA provides early guidance about Its exam priorities; firms should take notice - .PDF file.

In its annual summary of regulatory and examination priorities, the Financial Industry Regulatory Authority (FINRA) signaled that it will aggressively pursue market misconduct. The 11 January 2013 report follows closely on FINRA’s recent announcement of the increased high profile regulatory and disciplinary actions it brought in 2012. Member firms should carefully review their compliance policies and procedures in light of FINRA’s stated areas of focus.

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