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Regulation Best Interest: FINRA Examination Priorities for 2020
FredReish.com 
[Guidance Overview] Jan. 17, 2020 "Among the priorities in FINRA's 2020 Risk Monitoring and Examination Priorities Letter is examining the compliance readiness for Reg BI and Form CRS ... and then, after June 30, examining compliance with those requirements. Here's what the examination priorities letter says about that, including the questions that their examiners will ask[.]" MORE >> |
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