Bulletin: FINRA 2017 Regulatory and Examination Priorities Letter

 In Broker Dealer, Compliance Bulletin

Sometimes, Being Two-Faced is a Good Thing…

Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory

On January 1, 153 B.C., Rome was the site of the first recorded new year’s celebration during which Romans paid tribute to Janus – January’s namesake and the Roman god of beginnings and endings. Janus had two faces, one looking forward and one looking back. Taking a cue from Janus and in keeping with its own New Year’s tradition, FINRA looks both back on the past and forward toward the future with its annual Regulatory and Examination Priorities Letter. As always, it’s a particularly useful tool that offers a straightforward glimpse into the collective mindset of FINRA’s senior leadership. CRC strongly advises its clients (and all other member firms, for that matter) to heed FINRA’s counsel and to apply critical thought to those areas of the letter that are relevant to their firm’s business lines and operations.

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David Amster offers key takeaways from FINRA’s annual dispatch. Enter your information below to download your complimentary copy of Sometimes, Being Two-Faced is a Good Thing… FINRA 2017 Regulatory and Examination Priorities Letter:

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