The recently issued 2021 Report on FINRA’s Examination and Risk Monitoring Program (the “Report”) replaces, and combines, two previously published FINRA reports – The Report on Examination Findings and Observations as well as the Risk Monitoring and Examination Program Priorities Letter. The Report addresses key regulatory topics in four categories: (1) Firm Operations; (2) Communications and Sales Practices; (3) Market Integrity; and (4) Financial Management. In particular, FINRA identified the following issues that impact many member firms.
Regulation Best ...
- What Does the Upcoming Amendment to Federal Rule of Evidence 702 Mean for the Admission of Expert Testimony?
- Rare DOJ Criminal Indictment Related to Medicare Advantage Risk Adjustment
- What to Do When Your Distribution Checks Stop Arriving
- The Validity of More Than a Decade’s Worth of Federal Regulations Are at Stake as the U.S. Supreme Court Decides the Constitutionality of the Consumer Financial Protection Bureau’s Funding Structure
- What to Know About the New DOJ Mergers & Acquisitions (M&A) Safe Harbor Policy for Voluntary Self-Disclosures Made in Conjunction with Misconduct: Questions and Answers