FINRA staffers released the last podcast in a 3-part series on FINRA’s 2011 examination priorities - a high-speed run-through that can tax even the most attentive listener.  To access this recording and all other compliance podcasts, go to:  [FINRA Compliance Podcasts, 2011] 

    C-I Take Away.   Rather than spend time trying to listen to these podcasts, Compliance Insights recommends that members, instead, go directly to FINRA's latest Annual Regulatory and Examination Priorities Letter.  This written publication, published 2/8/11, highlights new and existing areas of significance to FINRA's regulatory programs.  It also includes topics of heightened importance to FINRA’s Member Regulation, Market Regulation and Enforcement Departments, and the Office of Fraud Detection and Market Intelligence.

Keep in mind that, FINRA may have integrated new issues and concerns into its regulatory programs since February 2011 that are not addressed in the Letter.  Regardless, the letter is comprehensive enough to help any firm refine its compliance, supervisory and ethics programs.

To access the letter sent to industry Executive Reps and CCO's, click on:    [FINRA Annual Regulatory and Examination Priorities Letter, 2/8/11]