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Compliance and Regulatory Alerts  |  02-09-22

FINRA Releases 2022 Report on FINRA’s Examination and Risk Monitoring Program

Image © [Andriy Blokhin] /Adobe Stock

FINRA has announced the publication of the 2022 Report on FINRA's Examination and Risk Monitoring Program. The new Report builds on the structure and content in the 2021 Report by adding new topics and new material to existing sections where appropriate. It addresses 21 regulatory areas organized into four categories: Firm Operations, Communications and Sales, Market Integrity and Financial Management.

Stay tuned for our annual commentary, coming soon, on FINRA’s 2022 objectives and how they may impact your legal, regulatory and compliance matters.

Events of Interest:

Join us on February 17, 2022, when we discuss 2022 regulator priorities at the 2022 Capital Markets Litigation and Regulatory Outlook CLE Webinar.

Register for this Webinar

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.