Shared Priorities for SEC and FINRA

3/14/18: 

Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have released guidance about their regulatory authorities since the beginning of the year.  In March, law firm Baker Donelson took those releases a step further when it published “SEC & FINRA: Shared Regulatory Priorities for 2018."  The publication by Mark D. Griffin and Matthew G. White identifies “areas of common focus.”  Among those areas: senior investors, cybersecurity, cryptocurrencies and anti-money-laundering.  The authors suggest that organizations consider responses including an assessment of compliance programs and an evaluation of sales practices.