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.

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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
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