FINRA 2010 Examination Highlights

April 2010

 

On March 1, 2010, the Financial Industry Regulatory Authority ("FINRA") issued its
annual letter highlighting the main points of interest for this year's FINRA examinations.
This information provides important guidance to member firms, particularly as they
review their compliance internal controls throughout the year. The following article
summarizes those developments evolving at FINRA and how this may impact your
compliance programs. In addition, Core Compliance & Legal Services, Inc. ("CCLS")
also will highlight those examination priorities for member firms to be aware of in 2010
and beyond.

 

To read the full PDF article, click here.