2017 Regulatory and Examination Priorities Letter-Part 4

Posted on April 27th, 2017 at 11:33 AM
2017 Regulatory and Examination Priorities Letter-Part 4

From the Desk of Jim Eccleston at Eccleston Law LLC:

This is the fourth in a series of posts to discuss FINRA’s 2017 Regulatory and Examinations Priorities Letter. FINRA’s 2017 letter provides information about areas FINRA plans to review in 2017 based on observations from its regulatory programs as well as input from various sources, including member firms, other regulators and investor advocates.

FINRA plans on focusing on firms’ obligations with respect to their registered representatives’ outside business activities and intends to evaluate those firms’ existing process and procedures. Specifically, FINRA will review both the firms’ notification procedures in place with respect to private securities transactions, as well as how firms evaluate their registered representatives’ outside business activities.

The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including Securities FraudUnauthorized TradingBreach of Fiduciary DutyRetirement Planning Negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today.

Related Attorneys: James J. Eccleston

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