Oyster Stew - A Broth of Financial Services Commentary and Insights

FINOP FOCUS: 2021 Exam Priorities

April 22, 2021 Jeff Harpel, Clark Tucker, Rob Hall
Oyster Stew - A Broth of Financial Services Commentary and Insights
FINOP FOCUS: 2021 Exam Priorities
Show Notes

Don't be a findings in next year's FINRA Exam Priorities report.
Join our FINOP and Finance experts Rob Hall, Clark Tucker and Jeff Harpel as they discuss  the repeated and new findings and recommendations in FINRA's 2021 Examination and Risk Monitoring Program.