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FINRA Releases 2014 Regulatory and Exam Priorities

Non-traded REITs, elder fraud, complex structured products, private placements and other alternative investments will be among the top examination priorities for the Financial Industry Regulatory Authority (FINRA) this year. FINRA released its 2014 Regulatory and Examination Priorities letter today; in it, the regulator highlights financial products and issues that could pose significant risks for investors in the new year.

“FINRA’s examination priorities for 2014 provide the industry with a road map of issues that may be of risk to the investing public,” said Richard G. Ketchum, FINRA’s Chairman and CEO.  “By providing clear and detailed guidance to firms, we hope to not only support firms’ compliance efforts but also to alert firms to the issues we have identified as the most salient risks to investors and the integrity of our markets.”

FINRA’s letter also expressed concern over the potential risks posed by brokers who have been severely disciplined by FINRA and who then switch firms and may bring unethical or illegal practices to their new employer.

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