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FINRA Increased 2016 Operating Revenue With Record Fines

November 20th, 2017

Investment News reported last week that the Financial Industry Regulatory Authority’s (FINRA) operating revenue decreased while its income from fines nearly doubled in 2016. FINRA made up for a 6% decrease in operating revenue with $173.6 million in income from fines, up from $93.8 million in 2015. FINRA’s members are understandably concerned by these increasing…


FINRA’s Annual Regulatory and Examination Priorities Letter Highlights High-Risk Brokers

February 21st, 2017

Every year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to help its members understand where FINRA intends to focus its reviews during the coming year.  The letter is a must-read for FINRA members, compliance personal, supervisors, and those who provide advice about regulatory exams and related litigation. Among the issues discussed in the…

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