On December 7, 2018, FINRA released their annual Exam Findings Report. This is an important tool for Member Firms to leverage when prioritizing their compliance initiatives for 2019. CRC has reviewed this report and summarized key takeaways in FINRA 2018 Exam Findings Report and Regulatory Update Reminder.
As always, we understand that industry professionals have their plates full designing and running compliance programs and performing a wide breadth of day to day functions. So we’ve paired our report with the following Fast Facts digital short video to serve as a highlight reel and quick overview for those who are pressed for time.
To download your complimentary copy of the FINRA 2018 Exam Findings Report and Regulatory Update Reminder, use the form below:
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