FINRA Outlines Top Enforcement Priorities for Broker-Dealers

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The Financial Industry Regulatory Authority recently released its regulatory and examination priorities for 2012. The 16-page letter offers valuable insight into what examiners may be looking for and can help firms sure up their compliance programs accordingly.

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Published In: Business Organization Updates, Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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