FINRA's Examination Findings & Priorities
A Look Back & What to Expect in 2018
31 January 2018
The Financial Industry Regulatory Authority (FINRA) recently issued its Report on Examination Findings, as well as its 2018 Regulatory and Examination Priorities Letter. Combined, these two reports provide insight into several broad policy issues that FINRA believes should be key points of emphasis for member firms in 2018. What are these points and how will they affect your business?
In this in-depth webinar, Foley attorneys Dean Jeske, Allison Charney, and Joe Edmondson take a closer look at the following topics:
- A Brief Review of the FINRA360 Initiative: What’s Changed & What Does it Mean?
- Examining FINRA’s 2018 Exam Findings and the Exam Priorities Letter: What’s new? What are the biggest risks?
- Learning the Hidden Nuances That Could Prove Invaluable to Your Exam Preparation.
If you have questions or would like more information, please contact Kayla Huven at khuven@foley.com.
Recording
People
Related Insights
July 25, 2025
Foley Viewpoints
Thorny Laws That ICHRA Vendors Should Consider, Part Three: FinTech Edition
We continue our series on the legal and regulatory challenges facing individual coverage health reimbursement arrangements (ICHRAs); this…
July 24, 2025
Manufacturing Industry Advisor
Foley Automotive Update
Analysis by Julie Dautermann, Competitive Intelligence Analyst Foley is here to help you through all aspects of rethinking your long-term…
July 23, 2025
Foley Viewpoints
The One Big Beautiful Bill and Workplace Immigration Enforcement
The “One Big Beautiful Bill Act,” signed into law by President Trump on July 4, 2025, will fund government efforts to continue to…