Summary: Part two of this six-part series about FINRA’s 2015 Regulatory and Examination Priorities focuses on sales practice priorities for products, such as fixed income products, variable annuities, and alternate funds.
Summary: Part two of this six-part series about FINRA’s 2015 Regulatory and Examination Priorities focuses on sales practice priorities for products, such as fixed income products, variable annuities, and alternate funds.