Piper Waldron

Piper Waldron

McGuireWoods LLP

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FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities

FINRA’s examination program has undergone its most significant reorganization in decades. As stated in a press release, Oct. 1, 2018, FINRA’s goal for the reorganization was to “consolidate its Examination and Risk Monitoring...more

1/15/2020  /  Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Form CRS , Initial Public Offering (IPO) , Regulation Best Interest , Retail Investors , Securities and Exchange Commission (SEC)
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