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FINRA spells out its top concerns for this year via its “2019 Risk Monitoring and Examination Priorities Letter.”
Risk monitoring and examination priorities are the focus of the annual letter produced recently by the Financial Industry Regulatory Authority (FINRA). That annual FINRA letter highlights new priorities for 2019 and identifies “areas of ongoing concern.” The regulatory authority specifies that the 2019 letter’s “focus on materially new issues may help firms better identify those...
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