FINRA Publishes Its 2019 Risk Monitoring and Examination Priorities Letter

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 […]

Read More

SUBSCRIBE

* indicates required

 






 


COPYRIGHT © 2013-2024 ZILIAK LAW, LLC. ALL RIGHTS RESERVED. 
141 W JACKSON BLVD | SUITE 4048 | CHICAGO, IL | 60604 | 312.462.3350
^
linkedin facebook pinterest youtube rss twitter instagram facebook-blank rss-blank linkedin-blank pinterest youtube twitter instagram