Each year FINRA publishes its Annual Regulatory and Examinations Priorities Letter
(“Letter”) with the goal of highlighting key areas of focus for firm’s compliance,
supervisory and ethics programs.1 In issuing the 2011 Letter, FINRA identified numerous
key issues facing today’s financial industry, from rulemaking under the Dodd-Frank Wall
Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), to priorities and
expectations to be forthcoming with FINRA examinations of firms.
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