Open Call Report – FINRA’s 2018 Regulatory and Examination Priorities Letter

On January 8, 2018, FINRA published its 2018 Regulatory & Examinations Priorities Letter. The list of categories included; Fraud; Operational & Financial Risks; Sales Practice Risks; New Rules and Market Integrity, which was topic of the call, in particular Manipulation; Best Execution and Options.
Mr. Gira touched on the process FINRA follows in crafting its Priorities Letter and provided an update on FINRA’s surveillance programs and new Report Cards it hopes to publish in 2018.
Open Call Report here