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January 10, 2023 at 10:30 AM
Related: 7 Big Rules on the SEC’s 2023 To-Do List
The Financial Industry Regulatory Authority’s just-released Examination and Risk Monitoring Program report gives broker-dealers insight into findings from recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs.
The report “addresses topics that remain perennially important, with updates to reflect evolving risks, industry trends and findings from FINRA’s recent oversight activities,” Greg Ruppert, executive vice president of member supervision, said in a statement releasing the report.
The report also details where firms are falling short in their compliance and is designed to help BDs strengthen their compliance programs.
See the gallery for the four top areas FINRA will focus on in 2023.
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