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FINRA 2022 Exam Priorities

It is always good to know what regulators are going to focus on, and to prepare for that exam. Today seclaw.com/glossary/finra/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA released its 2022 Report on Examination and Risk Monitoring Program (the Report). While not a road map  it provides firms with information that may help inform their compliance programs. […]