FINRA is challenging brokerage firms to better align their business practices with the interests of their customers, cautioning that a failure to do so undermines the integrity of the market and invites regulatory scrutiny.
The industry regulator this week issued its annual regulatory and examinations priority letter, outlining for brokers several broad areas of concern, including ethical standards and risk management systems within firms, conflicts of interest, and the promotion and sale of novel products and services.
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