At the beginning of each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to focus on key issues to FINRA’s regulatory programs.
In January 2017, FINRA published its Annual Regulatory and Examination Priorities Letter. The letter provides information about areas FINRA plans to review in its 2017 exams. It’s based on observations from regulatory programs as well as input from various stakeholders (member firms, other regulators and investor advocates).
Firms find the annual Priorities Letter useful in reviewing their compliance programs and to address their internal training and communications.