In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
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In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
The MSRB outlined significant regulatory and strategic initiatives undertaken in 2019.
The MSRB requested public comment on a proposed rule concerning discretionary transactions in customer accounts.
The MSRB issued a Compliance Advisory to aid municipal securities dealers, brokers and dealers in addressing certain compliance risks and in evaluating existing compliance programs and controls.