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January 21, 2022 at 09:31 AM
Related: 4 Big FINRA Rule Changes in 2021
“A lot of exciting initiatives” are afoot at the Financial Industry Regulatory Authority in 2022, FINRA CEO Robert Cook said Wednesday.
“Front and center and the core of our mission is investor protection and market integrity,” Cook said at a Securities Industry and Financial Markets Association compliance and legal webinar to discuss FINRA’s 2002 priorities. “A theme of a lot of what we’ll be doing this year is going to be around retail investor protection issues, particularly in light of the surge in retail investors that we’ve seen coming into the markets in recent years.”
FINRA’s annual report on its exam and risk monitoring program will also be released in the next couple of weeks, Cook said. Among other measures, the report will detail findings and observations of “firms’ processes, practices and conduct, and where we’ve seen firms fall short” regarding Regulation Best Interest and Form CRS.
In the gallery above are FINRA’s priorities for 2022, including some of the rules and regulatory notices that may be released in the months ahead, as explained by Cook.
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