On January 4, 2017, FINRA released the eleventh edition of its “Regulatory and Examinations Priorities Letter.” As broker-dealer compliance personnel review their compliance program enhancements for 2017, they should focus on the “areas of significance” designated by FINRA.
To help your firm's compliance initiatives for this year, ACA Compliance Group (“ACA”) will present its annual complimentary FINRA Hot Topics webcast on Tuesday, March 28, 2017, at 2:00 p.m. EDT. Alan Wolper, a Partner with Ulmer & Berne LLP, and Thomas Grygiel, ACA Principal Consultant, will lead the discussion and take questions. Their presentation will focus on difficulties involved with and possible solutions for issues related to:
- High-risk brokers
- Senior investors
- Product suitability and concentration
- Outside business activity and private securities transactions
ACA invites everyone interested in learning how to best prepare for FINRA’s 2017 examination priorities to join us for this complimentary webcast. Please click this link to register for the event.