Retail fraud and high-risk brokers top the Financial Industry Regulatory Authority’s just-released 2018 Regulatory and Examination Priorities Letter, with the self-regulator also planning to usher in this year a revamped exam program as well as enhanced “information-sharing” with firms during exams.
“The coming year will bring both continuity and change in FINRA’s programs,” FINRA CEO Robert Cook wrote in a note to firms that accompanied the Priorities Letter.
“The continuity comes, first and foremost, in our unwavering commitment to our mission: protecting investors and promoting market integrity in a manner that facilitates vibrant capital markets. Change will come in how we accomplish that mission.”