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<p>Introduction</p> <p>Good morning and welcome to the first meeting of the Market Risk Advisory Committee (MRAC) in 2023 and our second MRAC meeting under my sponsorship.</p>
FINRA report underscores importance of getting surveillance systems and processes right.
On January 10, FINRA published its 2023 Report on FINRA's Examination and Risk Monitoring Program.
Regulatory Developments - FinCEN Proposes Form of Report to Collect Beneficial Ownership Information and Application to Obtain FinCEN Identifiers - On...
The 2023 Report on FINRA’s Examination and Risk Monitoring Program was published on Jan. 10, 2023. In a statement accompanying the Report, Greg Ruppert, executive vice president of...