On May 4, 2022, FINRA announced that it had fined two FINRA-registered funding portals a combined $1.75 million for failing to comply with securities laws and rules designed to protect.
FINRA published 2022 Report on its Examination and Risk Monitoring Program Report, identifying key areas of focus for broker-dealer exams this year, including AML, cybersecurity, Reg BI and Form CRS, public communications, best execution and customer fund segregation
FINRA published 2022 Report on its Examination and Risk Monitoring Program Report, identifying key areas of focus for broker-dealer exams this year, including AML, cybersecurity, Reg BI and Form CRS, public communications, best execution and customer fund segregation
Last week, FINRA published its 2022 Report on its Examination and Risk Monitoring Program (the “Report”), identifying key areas of focus for broker-dealer exams this year. The Report.