Good Morning. Thank you so much for being here with us today. I hope you will find the next two days to be a productive use of your time and that you will leave with valuable information and perhaps even some new friendships.
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
FINRA issues this publication to assist member firms in their compliance efforts. As in past years, this edition highlights examination priorities and frequently found deficiencies relating to FINRA's examination program.
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
September 2005
In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each
April 2004
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must establish its own
Enroll here to complete required FINRA exams, whether you are new to the industry or are seeking to broaden your career.
Thank you very much—it's great to be here. I'd also like to thank President Rebecca Laird, and also Leslie Woolley, Chair of the Luncheon Committee, for the gracious invitation to meet with you. There is so much going on in our markets that it's hard to know what to talk about.
