FINRA 2010 Examination Highlights Part II

May 2010

 

In last month's Risk Management Update, CCLS provided guidance regarding FINRA's
examination priorities. This month we are continuing our discussion of the 2010 FINRA
Examination Highlights, focusing on FINRA's guidance on compliance efforts for
dealing with new financial products, mergers and acquisitions, life settlements, municipal
securities, capital liquidity and other areas.

 

To read the full PDF article, click here.