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Annual Broker-Dealer Regulatory Review and Outlook

Understanding FinCEN’s Customer Due Diligence (CDD) Final Rule
February 28, 2018
A Peek Behind the Curtain: FINRA Publishes Budget, Financial Guiding Principles, Addresses Fees
February 28, 2018

As 2017 ends and 2018 emerges on the regulatory horizon, we find ourselves in a position to look back on what has transpired over the course of the past year in an effort to anticipate what the New Year may bring for Broker-Dealers.

In the following Annual Broker-Dealer Regulatory Review and Outlook (2017), Kaitlyn Gibbs offers her perspective on what the highlights were in 2017, as well as what will be at the center of regulatory development in 2018.

The report includes:

  • A re-cap of FINRA’s activities over 2017, including changes in enforcement functions and a continued focus on improving communication with member firms.
  • Our take on the core areas of FINRA’s first Annual Exam Findings Report from December 2017: Cybersecurity, Product Suitability, Anti-Money Laundering Compliance, and Best Execution.
  • An examination of FINRA’s initiatives and priorities for 2018 from Report Cards to new rules and amendments.

Download Annual Broker-Dealer Regulatory Review and Outlook