Posts from January 2023.
Every year the Financial Institution Regulatory Authority (FINRA) issues its “Report on FINRA’s Examination and Risk Monitoring Program.” The Report covers issues noted during the prior year’s exams and topics that examiners will look for going forward. It also foreshadows where Enforcement is likely to follow.
FINRA continues to improve the format, making it more user-friendly. This year’s Report highlights new material, includes expanded questions to ask about your firm’s activities, describes best practices, and provides resource links.