MyComplianceOffice Blog

Here at MCO we keep a close eye on the activities of the regulators. Q1 2017 was a record opening quarter and we now look at 7 key highlights from the FINRA fines review as we hit the mid-year point.

FINRA’s premier event, the national conference in Washington DC begins May 16. Once again, MCO staff will be on hand to exhibit and network. In preparation for the event, we’ve compiled our top 8 things to do while at FINRA in DC. 

Here at MCO we keep a close eye on the activities of regulators. By our calculations, Q1 has been a record quarter for FINRA fines sanctioned. Read the highlights here; FINRA fines in Q1 2017 - 6 Findings.

On Wednesday the Financial Industry Regulatory Authority (FINRA) released its annual examinations letter. We at MCO have summarized our top three takeaways.