FINRA Hot Topics for 2017

On Demand

Your desk!


On January 4, 2017, FINRA released the eleventh edition of its “Regulatory and Examinations Priorities Letter.” As broker-dealer compliance personnel review their compliance program enhancements for 2017, they should focus on the “areas of significance” designated by FINRA.

To help your firm's compliance initiatives for this year, ACA presents its annual complimentary FINRA Hot Topics webcast. Alan Wolper, a Partner with Ulmer & Berne LLP, with ACA, will lead the discussion and take questions. The presentation will focus on difficulties involved with and possible solutions for issues related to:

  • High-risk brokers
  • Senior investors
  • Product suitability and concentration
  • Outside business activity and private securities transactions
  • Cybersecurity