Regulatory and Examination Priorities 2014 – Part 4

April 15, 2014

The fourth podcast in a five-part series on FINRA’s 2014 regulatory and examination priorities, as addressed in FINRA’s annual letter to firms. This episode focuses on fraud prevention and financial and operational priorities.



Note: It may take a moment for the podcast to start after clicking "Play" depending on the size of the podcast and the speed of your connection. Please be patient while it loads.