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.” Outside Business Activities risks notes reporting obligations in connection with Registered Representatives who take PPP loans. Tom is licensed in Tennessee, Texas, and Louisiana.
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