FINRA’s March 2017 announcement of its engagement initiative provides an opportunity for the industry to consider FINRA’s activities on a much broader level.
FINRA’s special notice reflects its previously announced plans to examine its rules and procedures based on its interaction with the industry. For example, in his cover letter to FINRA’s 2017 examination priorities letter, Robert Cook, FINRA’s President and CEO, discussed his “never ending” listening tour of the industry.
Additional contributor to this post:
Lloyd S. Harmetz, lharmetz@mofo.com
