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FINRA Examination and Risk Monitoring Program 2022 Report

2022 Report on FINRA’s Examination and Risk Monitoring Program identifies areas of examination focus for FINRA Member Firms in 2022. The Report addresses key topics from four categories: Firm Operations, Communications and Sales, Market Integrity, and Financial Management. ....

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FINRA's 2021 Examination and Risk Monitoring Program Report

Thursday, February 18, 2021
On Feb. 1, 2021, the Financial Regulatory Authority (FINRA) released its 2021 Report on FINRA’s Examination and Risk Monitoring Program (Report), in which it identifies its areas of examination focus for FINRA member firms (Firms) in 2021. The Report replaces the prior format for examination focus, the Risk Monitoring and Examination Program Priorities Letter. In the introduction to the Report, FINRA acknowledges the ongoing COVID-19 pandemic, its regulatory notice in response, and the challenges Firms have faced in response. The report stresses, however, that while FINRA has been in contact with firms throughout the pandemic, it is not ready to address any specific COVID-19-related issues and that such issues will be covered in a future publication. ....

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