This is the fourth in a four-part podcast series with highlights from the 2017 Exam Priorities Letter recently sent to FINRA member firms detailing the specific priorities FINRA examiners will be looking for during the coming year.

2017 Exam Priorities Podcast – Part 4

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.

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2017 Exam Priorities Podcast – Part 4

2017 Exam Priorities Podcast – Part 4

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