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This February, the Financial Industry Regulatory Authority, Inc.
( FINRA ) released its Report on FINRA s Examination
and Risk Monitoring program (the Report ).
1
The Report replaces FINRA s former Report on FINRA Examination
Findings and Observations, and its Risk Monitoring and Examination
Priorities Letter. The Report, in its new format, will be released
annually.
The Report covers a broad spectrum of issues. This article
focuses on areas of interest to the structured products
industry.
REGULATION BEST INTEREST
This part of the Report generally asks firms whether they have
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