I thought everyone might want to see this. It is FINRA's latests letter on Examnations priorities.
http://www.finra.org/web/groups/industry/@ip/@reg/@guide/documents/industry/p121004.pdf
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About Me
- David R. Millar
- Grand Rapids, Michigan, United States
- I worked as the President and Chief Compliance Officer for a national broker-dealer. During my time, I saw a lack of quality compliance consultants for start-up and newly registered broker-dealers and registered investment advisers. This prompted me to create Integrity Compliance Consulting and www.easy-ria.com.
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