FINRA report highlights Reg BI, Form CRS wins and loses
In the first full year with the rules, the regulator found multiple areas where firms are missing the mark.
Source: financial-planning.com
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FINRA Publishes 2022 Report On Exam And Risk Monitoring Program - Includes Initial Findings From Reg BI Exams; Highlights Emerging And Ongoing Regulatory Topics
<p><span>FINRA today published its </span><a href="https://www.finra.org/rules-guidance/guidance/reports/2022-finras-examination-and-risk-monitoring-program">2022 Report on FINRA’s Examination and Risk Monitoring Program</a><span> to provide insights from FINRA’s oversight programs to FINRA member firms. The 70-page </span><span>Report</span><span> covers 21 different topics—including five new subjects—relevant to an evolving securities industry.<...
Source: mondovisione.com
Finra finds brokerages fall short on Reg BI compliance
The Finra annual report on its regulatory priorities finds brokerages are failing to act in the best interests of their customers.
Source: investmentnews.com
FINRA report finds short position controls lacking
The 70-page report homed in on some muni-specific risks uncovered during examinations.
Source: bondbuyer.com
Encore | At, By or Through: Fraud in the Broker-Dealer Industry
This episode originally aired in April 2021.The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. On this episode, we hear from the then-head of FINRA's National Cause and Financial Crimes Detection Programs about recent trends and how firms can work to protect themselves and their customers.
Source: finra.org