FINRA has announced their regulatory and examination priorities for the upcoming year. You can read the letter, with an introduction by CEO Robert Cook, at the link below.
Stay tuned to Bates Research for our commentary on FINRA’s 2018 objectives and how they may impact your legal, regulatory and compliance matters.
If you would like to join IBDC-RIAC Alliance Members at the April 10, 2024 Yankees vs Marlins baseball game, Yankee Stadium 7:00 pm, please send Lilian Morvay a message at: Lilian@IBDCconsulting.com and she will send you an invitation.
The following IBDC-RIAC Alliance Members will be your hosts: