In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
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In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
In its 2019 Annual Report, the SEC Division of Enforcement highlighted efforts to protect retail investors and combat cyber threats.
In its 2019 Risk Monitoring and Examination Priorities Letter , FINRA outlined key areas of focus for 2019, including: Online Distribution Platforms. FINRA will assess how firms are meeting their regulatory requirements when participating in online distributions of securities. Fixed Income Mark-Up Disclosure. FINRA will assess whether firms are complying with their disclosure requirements for mark-ups/mark-downs on fixed income securities transactions with retail customers. Regulatory Technology. FINRA will assess how firms are utilizing regulatory technology tools and addressing related risks