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Decoding FINRA's 2016 Regulatory and Examinations Letter

This article is not a summary. Rather it is to give compliance officers practical advice. The letter is FINRA's roadmap for examinations and FINRA expects that firms will take action on all items.

Traders Magazine Online News, February 3, 2016

Elin Cherry

This article is not a summary. Rather it is to give compliance officers practical advice. The letter is FINRA's roadmap for examinations and FINRA expects that firms will take action on all items.

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