FINRA 2015 Regulatory and Examinations Priorities

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January 29, 2015

Client Alert
The Financial Industry Regulatory Authority, Inc. recently issued its Regulatory and Examinations Priorities Letter. In this alert are brief summaries of some of the more significant issues FINRA’s letter raises. FINRA member firms should review their policies, procedures, and business activities in light of FINRA’s stated 2015 priorities.

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