FINRA 2021 Exam Results and Priorities | Burr & Forman
To embed, copy and paste the code into your website or blog: On February 1, 2021, the Financial Industry Regulatory Authority (“FINRA”) released its “Report on FINRA’s Risk Monitoring and Examination Activities.” The Report combines two of FINRA’s long-standing reports: (a) the retrospective Report of Examination Findings from the prior year; with (b) its forward-looking Examination Priorities Letter. The new format is more user-friendly for supervision and compliance professionals than the prior reports, setting out for each topic: Regulatory Obligation with citation to relev...
Source: jdsupra.com