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. (“Core Compliance”) 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.