Hotline Support

FINRA Announces 2018 Regulatory and Examination Priorities

State News to Watch in 2018
January 4, 2018
Annual Investment Advisor Regulatory Review and Outlook (2017)
January 25, 2018

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.

Link to FINRA Letter