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Commentary by Mark Highman

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