Tag Archives: FINRA Enforcement

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

New Enforcement Structure Announced by FINRA

FINRA recently announced the Department of Enforcement’s new structure, which marks the completion of the final phase of the integration of FINRA’s enforcement functions, a process that began in July 2017. FINRA observed that consolidation is a key outcome of FINRA360, FINRA’s ongoing comprehensive self-evaluation and improvement initiative.  Prior to the consolidation, the department was … Continue reading New Enforcement Structure Announced by FINRA