Tag Archives: Risk Control Assessment

2017 FINRA Risk Control Assessment ( RCA)

  FINRA’s 2017 Risk Control Assessment (RCA) survey has been launched. Each firm’s executive representative and designated assistant should have received an email linking to their firm’s unique RCA survey. The RCA is an important part of FINRA’s risk-based surveillance and examination program. FINRA uses it to better understand the risks associated with the business activities … Continue reading 2017 FINRA Risk Control Assessment ( RCA)

FINRA 2016 Risk Control Assessment Due

FINRA’s 2016 Risk Control Assessment (RCA) survey launched earlier this month, when each firm’s executive representative was sent an email linking to their firm’s unique RCA survey. The RCA is an integral part of FINRA’s risk-based examination and surveillance program. FINRA uses it to better understand the risks associated with the business activities in which … Continue reading FINRA 2016 Risk Control Assessment Due

FINRA Extends Deadline for 2015 Risk Control Assessment

FINRA has extended the deadline to complete the 2015 Risk Control Assessment Survey(RCA) to July 31, 2015. The RCA is a survey that FINRA uses to better understand the business activities in which individual member firms engage, the products and services they sell, the kinds of clients and counterparties with which they deal, and to further understand … Continue reading FINRA Extends Deadline for 2015 Risk Control Assessment

FINRA Launches 2015 Risk Control Assessment

The LeGaye Law Firm wants to advise you that FINRA launched the 2015 Risk Control Assessment (RCA) survey on June 22.  Each firm’s executive representative received an email linking to their firm’s unique RCA survey. FINRA has requested that the survey be completed by Friday, July 17, 2015. If you are a retainer client of … Continue reading FINRA Launches 2015 Risk Control Assessment