FINRA

January 6, 2014 by FINRA

Each year, FINRA publishes its regulatory and examination priorities to highlight significant risks and issues that could adversely affect investors and market integrity in the coming year. These risks are primary drivers of our regulatory programs. Of course, markets and the economic environment are dynamic. As a result, FINRA updates its view on risks throughout the year, and adjusts our programs and allocation of resources to address changes in those perceived risks. We encourage firms to do so as well.

http://www.finra.org/web/groups/industry/@ip/@reg/@guide/documents/industry/p419710.pdf

Originally Posted at FINRA.org on January 2, 2013 by FINRA.