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FINRA Targeted Exam Letter on Options Accounts

The Financial Industry Regulatory Authority (“FINRA”) recently kicked off a “sweep” examination with its August 2021 Targeted Exam Letter on “practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence.”  The exam covers both self-directed and rep-recommended retail accounts (not institutional or managed accounts) during January 1, 2020 through the present.

The sweep seeks:

  1. “Written Supervisory Procedures (WSP), compliance manuals and any other written guidance ...
Posted in: FINRA
Tags: Exam Letter, finra
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