Tag Archives: Examination Findings

FINRA’s 2018 Examination Findings Report Targets Private Placement

The Financial Industry Regulatory Authority’s (“FINRA”)  2018 Examination Findings Report regarding broker-dealer (“firms” or “members”) examinations made it clear that it had targeted due diligence for private placements as a part of its core examination program of members.   Ultimately, the Examination Findings Report focused on a number of observations from recent FINRA examinations, but it … Continue reading FINRA’s 2018 Examination Findings Report Targets Private Placement

Compliance Deficiencies Targeted in FINRA’s 2018 Examination Findings Report

The Financial Industry Regulatory Authority (“FINRA”) recently issued its 2018 Examination Findings Report that reflects a summary of its examination findings for broker-dealers (“firms” or “members”) in 2018.   For members, the report gives a view of what FINRA has focused on in 2018, and what can be expected to been seen in FINRA’s 2019 examination … Continue reading Compliance Deficiencies Targeted in FINRA’s 2018 Examination Findings Report