FINRA’s 2023 Priorities and Examination Findings was the topic of discussion at SIFMA’s first monthly luncheon of 2023. Reed Smith sponsored this luncheon and provided a full report from the panel presentation by Robert Cook (President and CEO of FINRA) and Greg Ruppert (EVP of Member Supervision at FINRA), and moderated by Saima Ahmed, SIFMA’s EVP and General Counsel.
Read our detailed client alert summarizing the event on reedsmith.com.