Updated Saturday, August 23, 2014 as of 1:25 PM ET

Top 2014 Regulatory Priorities for B-Ds

FINRA and the SEC recently issued 2014 examination priorities letters to help broker-dealers focus and allocate resources to the higher-risk areas of their business and the areas that may be assessed in upcoming examinations.

Get access to this article and thousands more...

All On Wall Street articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

Comments (1)
Well, it seems broker dealers have their work cut-out for them. All kinds of derivatives are under the lens as is quality of sales personnel.All this may go a long way in protecting the interests of the client and ensure a more stable revenue to both the client as well as the B-D and at the same time reduce economic turmoil. Way to go, SEC!
Posted by KIMMY B | Tuesday, February 11 2014 at 12:21PM ET
Add Your Comments:
Not Registered?
You must be registered to post a comment. Click here to register.
Already registered? Log in here
Please note you must now log in with your email address and password.

Already a subscriber? Log in here