Tag Archives: FINRA Exam Priorities

2019 Risk Monitoring and Examination Priorities Letter Released by FINRA

The Financial Industry Regulatory Authority (FINRA) has released its 2019 Risk Monitoring and Examination Priorities Letter, which highlights new priorities as well as identifies areas of ongoing concern that FINRA will continue to review in the coming year.  This year’s Priorities Letter to FINRA member firms takes a new approach by focusing primarily on those … Continue reading 2019 Risk Monitoring and Examination Priorities Letter Released by FINRA