The priorities are considered to be consistent with the regulator’s areas of focus in 2013.
Estimated reading time: 0 minutes, 20 seconds
FINRA Outlines Priorities for 2014
In a recent letter to its members, the Financial Industry Regulatory Authority said its priorities for 2014 include issues related to suitability for complex products, qualified plan rollover option disclosures, security of customer data, recidivist brokers and other matters. So reports the National Law Review.
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