...Daniel A. Nathan Purpose To analyze FINRA’s focus on broker-dealer culture in its 2016 annual priorities letter and the application of the concept in FINRA disciplinary proceedings, to explain how that focus will affect FINRA’s examinations of firms, and to provide recommendations as to how a firm...

... 2007 Report of Investment Adviser Examinations, to help all member jurisdictions and advisers gain a better understanding of current compliance challenges, and to assist advisers in developing compliance programs that will minimize the potential for regulatory violations, and therefore build public...