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FINRA Releases 2018 Annual Regulatory and Examinations Priorities
  • Greenberg Traurig LLP
  • USA
  • January 15 2018

As it does every January, FINRA released its annual Regulatory and Examinations Priorities Letter identifying areas of examination focus for the


Bridging the Week by Gary DeWaal: January 8 to 12, and 16, 2018 (FINRA Examination Priorities Crypto-Exchange Suit Treasury Secretary Speaks Bitcoin)
  • Katten Muchin Rosenman LLP
  • USA
  • January 15 2018

Last week, the Financial Industry Regulatory Authority disclosed its examination priorities for this year. FINRA’s focus will include, among a wide


FINRA Releases 2018 Regulatory and Examination Priority Letter
  • Katten Muchin Rosenman LLP
  • USA
  • January 12 2018

On January 8, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priority Letter detailing various


FINRA Is Coming: Are Your Cryptocurrency Activities Covered?
  • Hunton & Williams LLP
  • USA
  • January 12 2018

The calendar may have started anew in 2018, but federal regulators have affirmed that they are still firmly focused on one of 2017’s emerging


Failure to Supervise Selling Away Arbitrable as “Connected with Business”
  • Burr & Forman LLP
  • USA
  • January 11 2018

The Sixth Circuit recently affirmed that failure-to-supervise claims against a brokerage firm over outside business activities it knew nothing about


FINRA releases 2018 Regulatory and Examinations Priorities Letter
  • Buckley Sandler LLP
  • USA
  • January 11 2018

On January 8, the Financial Industry Regulatory Authority (FINRA) published its Annual Regulatory and Examination Priorities Letter (2018 Letter


FINRA’s 2018 Priorities Letter: Increased Exam Transparency, More Tools for Firms, and a Focus of Retail Investment Fraud
  • Baker Botts LLP
  • USA
  • January 10 2018

FINRA issued its 2018 Regulatory and Examination Priorities Letter (the “Priorities Letter”) this week and it contained plenty of welcome news for


FINRA’S 2018 Exam Priorities Reflect Business As Usual
  • Ulmer & Berne LLP
  • USA
  • January 10 2018

I would imagine that the point of FINRA releasing its list of exam priorities each year is to help firms who are actually going to be examined, by


FINRA 2018 Priorities Letter Released
  • Burr & Forman LLP
  • USA
  • January 9 2018

FINRA recently published its 2018 Annual Regulatory and Examination Priorities Letter, which identifies opportunities for firms to improve their


FINRA’s 2018 Annual Regulatory and Examination Priorities Letter Makes Clear that Member Firm’s Anti-Money Laundering Programs Will Continue to Be Closely Scrutinized
  • Bressler, Amery & Ross PC
  • USA
  • January 9 2018

On January 8, 2018, FINRA issued its 2018 Annual Regulatory and Examination Priorities Letter (“2018 Priorities Letter”) and identified anti-money