6 Things to Know about FINRA's 2018 Priorities Letter 

Each year, FINRA releases its "Annual Regulatory and Examination Priorities Letter." Compliance thought leaders and industry publications rush to comment and discuss.

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Firm Culture: FINRA to begin targeted exams of broker-dealers

Yesterday, the Financial Industry Regulatory Authority (FINRA) released a new, targeted examination letter on its website. In the statement, the self-regulator announced targeted exams of member broker-dealers to investigate, “how firms establish, communicate and implement cultural values, and whether cultural values are guiding business conduct.”

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