In This Issue. The Federal Reserve Board of Governors (Federal Reserve), the Office of the Comptroller of the Currency (OCC) and the Federal Deposit Insurance Corporation (FDIC).
Cadwalader Cabinet: Beneficial Ownership Reporting Expansion natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.
In its annual Examination and Risk Monitoring Program Report, FINRA covered twenty-one different topics related to a firm's core compliance responsibilities. FINRA added five new topics since last year's report.
The SEC proposed amendments to agency rules governing beneficial ownership reporting. Also, FINRA covered twenty-one different topics related to a firm's core compliance responsibilities. FINRA added five new topics since last year's report.
<p><span>FINRA today published its </span><a href="https://www.finra.org/rules-guidance/guidance/reports/2022-finras-examination-and-risk-monitoring-program">2022 Report on FINRA’s Examination and Risk Monitoring Program</a><span> to provide insights from FINRA’s oversight programs to FINRA member firms. The 70-page </span><span>Report</span><span> covers 21 different topics—including five new subjects—relevant to an evolving securities industry.</span></p>