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FINRA’s 2023 Priorities and Examination Findings Report from Monthly SIFMA Luncheon

By John Lukanski, Kiran Somashekara & Pawel Maziarz on January 20, 2023
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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.

Photo of John Lukanski John Lukanski
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Photo of Kiran Somashekara Kiran Somashekara
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Photo of Pawel Maziarz Pawel Maziarz
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  • Posted in:
    Financial
  • Blog:
    Consumer Finance Spotlight
  • Organization:
    Reed Smith LLP
  • Article: View Original Source

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