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Capital Markets

21 January 2020
Lloyd Harmetz FINRA: suitability and sales practices remain an issue

USA - Morrison & Foerster LLP

The Financial Industry Regulatory Authority (FINRA) recently released its 2019 Report on Examination Findings and Observations. The report intends to reflect key findings and observations identified in FINRA's recent examinations of broker-dealers. The report also describes practices that FINRA has deemed to be effective and that could help firms to improve their compliance and risk management programmes.

Authors: Lloyd Harmetz, Yiyang Huang, James Schwartz, Jeremy Jennings-Mares
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