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Julian Rainero
Financial Industry Regulatory Authority
Julian RaineroBracewell & Giuliani
FINRA officials wrote that the expanded information would provide greater insight into firms' operations, helping the SRO better plan for exams. FINRA lately has been eyeing FOCUS reports as a tool it can use to sharpen the risk-focus of its exam program (CR, 6/21). It expects to spell out the content and frequency of its supplemental filings at a later date. The deadline for comments is Aug. 18.
The views and opinions expressed herein are the views and opinions of the author and do not necessarily reflect those of Nasdaq, Inc.
Copyright © 2010 Institutional Investor
The views and opinions expressed herein are the views and opinions of the author and do not necessarily reflect those of Nasdaq, Inc.
