Client Alerts

Client Alerts
Hot Topics / Insights
FINRA Sets Its 2018 Priorities

Alexander Moshinsky 02.08.2018 | Client Alert In its 2018 Regulatory and Examination Priorities Letter, FINRA, the Financial Industry Regulatory Authority, highlighted the topics it will focus on this year. The […]

FINRA Sets Ethics and Conduct as 2016 Examination Priorities

Alexander Moshinsky, Director 03.22.2016 | Client Alert Compliance officers and management teams are advised to prepare for sharper attention to ethics and conduct in light of the Financial Industry Regulatory […]