FINRA 2021 Exam Results and Priorities
Burr Forman
FEBRUARY 2, 2021
On February 1, 2021, the Financial Industry Regulatory Authority (“FINRA”) released its “Report on FINRA’s Risk Monitoring and Examination Activities.” In past years, FINRA has addressed issues related to Supervision and Senior Investors separately. The broad categories of issues addressed in the Report are: Firm Operations.
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