It’s something that keeps any compliance chief awake at night: targeted regulatory exam letters, also known as “sweep” letters. These inquiries by the Financial Industry Regulatory Authority allow the ...
FINRA published its 11th Annual 2016 Regulatory and Examinations Letter. FINRA cut broker-dealers a break this year as the letter is only 13 pages, down from 17 pages in 2015. Does the decrease ...
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