FINRA's Examination Findings & Priorities

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 [email protected].

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