The Financial Industry Regulatory Authority (FINRA) releases an annual letter outlining its Regulatory and Examination Priorities for the upcoming year. In line with letters and rules from other regulatory bodies such as the SEC, NAIC, and FFIEC, the 2016 FINRA Priority Letter puts the spotlight on risk and control management. What, specifically, are the FINRA priorities of the year? Among other things, “FINRA will focus on the frameworks that firms use to develop, communicate and evaluate confo
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The purpose of this blog post is to stress the importance of financial education (literacy) by gathering valuable resources that will help both youth and adults get a better understanding of finance.
I chose to write about financial literacy as lack of it represents the basis for most of the legislation and regulation initiatives. With products getting more complex the consumers are more vulnerable to mis-selling. Also, this is no secret consumers may show irresponsibility in their financial deci
