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FINRA Signals Expanded Enforcement Priorities in Annual Report | BakerHostetler

The 2023 Report on FINRA’s Examination and Risk Monitoring Program was published on Jan. 10, 2023. In a statement accompanying the Report, Greg Ruppert, executive vice president of.

FINRA report highlights Reg BI, Form CRS wins and loses

In the first full year with the rules, the regulator found multiple areas where firms are missing the mark.

FINRA Publishes 2022 Report On Exam And Risk Monitoring Program - Includes Initial Findings From Reg BI Exams; Highlights Emerging And Ongoing Regulatory Topics

<p><span>FINRA today published its&nbsp;</span><a href="https://www.finra.org/rules-guidance/guidance/reports/2022-finras-examination-and-risk-monitoring-program">2022 Report on FINRA&rsquo;s Examination and Risk Monitoring Program</a><span>&nbsp;to provide insights from FINRA&rsquo;s oversight programs to FINRA member firms. The 70-page&nbsp;</span><span>Report</span><span>&nbsp;covers 21 different topics&mdash;including five new subjects&mdash;relevant to an evolving securities industry.</span></p>

FINRA 2022 exam report highlights Reg BI compliance, AML trends, more

Finra finds brokerages fall short on Reg BI compliance

The Finra annual report on its regulatory priorities finds brokerages are failing to act in the best interests of their customers.