Summary: The final podcast in a three-part series about FINRA’s 2016 Regulatory and Examination Priorities Letter. We cover sales practice, financial and operational controls and market integrity. Hosts: Steve Polansky and Sarah Razaq.
Summary: The final podcast in a three-part series about FINRA’s 2016 Regulatory and Examination Priorities Letter. We cover sales practice, financial and operational controls and market integrity. Hosts: Steve Polansky and Sarah Razaq.
