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FINRA Report Suggests Growing Need for Enhanced Risk Management in Cybersecurity and Outside Business Activities
Blog | FINRA Broker-Dealer Regulatory Counsel

FINRA Report Suggests Growing Need for Enhanced Risk Management in Cybersecurity and Outside Business Activities

March 12, 2021 by

Firms that have seen the recently released 2021 Report on the Financial Industry Regulatory Authority’s (FINRA’s) Examination and Risk Monitoring Program (the “Report”) should be formulating plans to fortify their compliance programs based on the noteworthy findings shared from recent FINRA exams. The Report provides firms with valuable insight into 18 regulatory topics categorized by Firm Operations, Communications and Sales, Market Integrity, and Financial Management.

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Blog | FINRA Broker-Dealer Regulatory Counsel

Getting Ahead of the Curve: FINRA’s Areas of Focus for 2020

March 11, 2020 by

The Financial Industry Regulatory Authority (FINRA) is a government-authorized not-for-profit organization that oversees U.S. broker-dealers to ensure that everyone can participate in the market with confidence. Every year, FINRA publishes its areas of focus for the ongoing execution of its mission to protect investors and market integrity.

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