January 9, 2018
FINRA Announces its 2018 Regulatory and Examination Priorities
On January 8, 2018, the Financial Industry Regulatory Authority (“FINRA”) published its 2018 Regulatory and Examination Priorities Letter to highlight areas of focus for FINRA’s upcoming examinations of registered broker-dealers. Significant areas of focus include financial technology innovations, including cybersecurity and supervision of transactions involving cryptocurrencies and initial coin offerings…