FINRA 2013 Examination Priorities

February 27, 2013

On January 11, 2013, FINRA released its 2013
examination priorities letter.  The letter
identifies four primary categories as the focus of FINRA’s upcoming
examinations and enforcement efforts – Business Conduct and Sales Practice
Priorities, Insider Trading, Financial and Operational Priorities, and Market
Regulation Priorities.  Within each
category, FINRA identifies the broad concerns, products and investment types
that will be subject to closer regulatory scrutiny.

For additional review and analysis of the letter,
please see our related client memo, found here.


Compliance, FINRA, News