Spire Insights


Finra to Step Up Scrutiny of Reg BI Compliance

Finra Conducting Exams Related to Regulation

At Spire Investment Partners we believe the adage: “Good Compliance is good business.”

This is truer than ever as FINRA shifts its focus from procedural issues to a more in-depth analysis of specific recommendations. In the current environment, it’s important to have a great compliance and supervision partner you can trust.

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