Bates Research, Compliance and Regulatory Alerts  |  02-02-21

FINRA Releases 2021 Report on FINRA’s Examination and Risk Monitoring Program

FINRA Releases 2021 Report on FINRA’s Examination and Risk Monitoring Program

FINRA has announced the publication of the 2021 Report on FINRA's Examination and Risk Monitoring Program. The new Report combines and replaces two previously published annual reports, the Report on Examination Findings and Observations and the Risk Monitoring and Examination Program Priorities Letter. It addresses 18 regulatory areas organized into four categories: Firm Operations, Communications and Sales, Market Integrity and Financial Management, and will adapt the areas of focus for its Examinations and Risk Monitoring programs during 2021.

Stay tuned for our annual commentary, coming soon, on FINRA’s 2021 objectives and how they may impact your legal, regulatory and compliance matters.

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