FINRA Releases 2020 Exam Priorities Letter

On January 9, 2020, FINRA released its 2020 Risk Monitoring and Examination Priorities Letter. ¬†While many of the priorities are continuations from previous years and all areas are important, the recent Letter pointed to some new or refined focus areas: Sales Practices Regulation Best Interest: ¬†There are still many firms that have not started the… READ MORE