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  2. In this Bottom Line videocast for our Asset Management Regulation in 2020 series, attorneys Susan Krawczyk and Holly Smith discuss FINRA’s 2020 Priorities Letter, the nine items has targeted for Reg BI preparedness and more!

  3. prije 9 sati
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  5. 31. sij

    Don't forget to include FINRA systems in your annual compliance report. Join us for a complimentary webinar on February 11 with Elin Cherry from for info on how to incorporate Report Cards, BD Updates and more.

  6. 31. sij

    ’s 2020 Risk Monitoring and Examination Priorities Letter highlights “new and emerging” areas where it will focus risk , , and programs. Click to discover these new areas.

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  9. 31. sij

    Priorities Letter Highlights Customer Communications as the Subject of Heightened Focus for 2020

  10. 30. sij

    Prudential agrees to a settlement with over inaccurate plan communications. with the details:

  11. 30. sij

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