In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
A broker-dealer settled FINRA charges for failing to detect suspicious trading activity, file suspicious activity reports, and implement its own anti-money laundering procedures.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
In a 2017 Regulatory and Examination Priorities Letter, FINRA identified compliance, supervision and risk management as primary areas for review.