Title: Financial Adviser, Financial Planner
Company: MW Financial Group, Ltd.
Location: Orange, CT United States 93 more words
Tags » Financial Industry Regulatory Authority
The Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) recently released their annual examination priorities for 2017. Although the regulators independently develop their areas of focus, there are six overlapping priorities that securities firms may want to address in the near term. 1,017 more words