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 ...
Blog Editors
Recent Updates
- “They Said What?! I’ll Sue!” – Litigating Defamatory Claims – Speaking of Litigation Video Podcast
- Two Plaintiffs Win Border Battles as Court Emphasizes When It Has Jurisdiction in Cases with Substantial Factual Issues - SCOTUS Today
- Public Officials Subject to Suits for Blocking Social Media Critics, “Safety Valve” Relief from Mandatory Minimums Is Limited - SCOTUS Today
- Main Justice Launches a 90-Day “Policy Sprint” to Launch a Whistleblower Rewards Program
- What to Do When Your Case Gets Referred to Mediation