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FINRA's 2023 Report on Examination and Risk Monitoring Program

The Financial Regulatory Authority released its 2023 Report on FINRA’s Examination and Risk Monitoring Program which identifies the year’s areas of examination focus for FINRA Member Firms. The Report addresses several key topics from financial crimes to financial management. ....

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Form CRS Disclosure Improvements Requested

The SEC’s Standards of Conduct Implementation Committee issued a statement following a review of Form CRS relationship summaries filed with the SEC by a cross-section of broker-dealers and investment advisers and the firms’ compliance with Form CRS requirements. ....

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