FINRA Publishes Its 2019 Risk Monitoring and Examination Priorities Letter

Chelsea EllisMarket Rules & Responsibilities

FINRA-2019-priorities

On January 22, 2019, the Financial Industry Regulatory Authority (“FINRA”) published its 2019 Risk Monitoring and Examination Priorities Letter (“2019 Priorities Letter”). FINRA annually publishes its Priorities Letter to highlight the areas on which it intends to focus for the upcoming year. While the majority of 2019’s focus areas are the same as last year’s (sales practice risks, senior investors, … Read More