{"id":606,"date":"2017-03-30T13:50:29","date_gmt":"2017-03-30T13:50:29","guid":{"rendered":"http:\/\/localhost\/?p=606"},"modified":"2017-03-30T14:27:42","modified_gmt":"2017-03-30T14:27:42","slug":"finras-engagement-initiative","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2017\/03\/30\/finras-engagement-initiative\/","title":{"rendered":"FINRA&#8217;s Engagement Initiative"},"content":{"rendered":"<p>FINRA\u2019s March 2017 announcement of its <a href=\"https:\/\/www.finra.org\/industry\/special-notice-032117\" target=\"_blank\">engagement initiative<\/a> provides an opportunity for the industry to consider FINRA\u2019s activities on a much broader level.<\/p>\n<p>FINRA\u2019s special notice reflects its previously announced plans to examine its rules and procedures based on its interaction with the industry.\u00a0 For example, in his cover letter to FINRA\u2019s 2017 <a href=\"http:\/\/www.finra.org\/industry\/2017-regulatory-and-examination-priorities-letter\" target=\"_blank\">examination priorities letter<\/a>, Robert Cook, FINRA\u2019s President and CEO, discussed his \u201cnever ending\u201d listening tour of the industry.<\/p>\n<p><a href=\"http:\/\/www.bdiaregulator.com\/2017\/03\/finras-engagement-initiative\/\">Read More Here<\/a><\/p>\n<p>Additional contributor to this post:<\/p>\n<p><a href=\"https:\/\/www.mofo.com\/people\/lloyd-harmetz.html\">Lloyd S. Harmetz<\/a>,\u00a0<a class=\"emailPopup\" href=\"mailto:lharmetz@mofo.com\">lharmetz@mofo.com<\/a><\/p>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>FINRA\u2019s March 2017 announcement of its engagement initiative provides an opportunity for the industry to consider FINRA\u2019s activities on a much broader level. FINRA\u2019s special notice reflects its previously announced plans to examine its rules and procedures based on its interaction with the industry.\u00a0 For example, in his cover letter to FINRA\u2019s 2017 examination priorities &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2017\/03\/30\/finras-engagement-initiative\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">FINRA&#8217;s Engagement Initiative<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":6,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"footnotes":""},"categories":[23,21],"tags":[],"class_list":["post-606","post","type-post","status-publish","format-standard","hentry","category-compliance","category-regulatory"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 5.0.0.1 - aioseo.com -->\n\t<meta name=\"description\" content=\"FINRA\u2019s March 2017 announcement of its engagement initiative provides an opportunity for the industry to consider FINRA\u2019s activities on a much broader level. 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