FINRA 2015 Regulatory and Examination Priorities

By Patricia Uceda, Spring 2015 Graduate Research Assistant

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In order to expand upon their Regulatory and Examination Priorities letter for 2015, FINRA recently released a short 14 minute video featuring Dan Sibears, FINRA’s executive Vice President of Regulatory Operations. This video is particularly useful for broker-dealer firms and investment advisers, as it provides more detail on what FINRA will be looking for and expecting this year. Watch it here.  To read more about FINRA’s regulatory and examination priorities for 2015, check out our earlier post here.