BROWSE BY TOPIC
Stories of Interest
- New Law Bans Kaspersky Software from Use in U.S. Government
- I Owned Bitcoin For a Weekend and Here's What I Learned
- SEC Appoints New Chair and Board Members to PCAOB
- FINRA, Georgetown Team Up to Deliver 'Certified Regulatory and Compliance Professional' Program
- FINRA Board Meeting - This Week's Agenda
- Statement on Cryptocurrencies and Initial Coin Offerings - SEC Chair Clayton
- Company Halts Initial Coin Offering Over SEC Registration Concerns
- Kevin O'Leary Explains One Big Thing People Don't Understand About Bitcoin (But Need To)
- CME Bitcoin Futures: A Better Way to Buy (or Short) Bitcoin?
- Address at ICI's 2017 Securities Law Developments Conference - SEC Commissioner Stein
- New York Pension Fund Seeks More Pay Disclosure from Wells Fargo
- Wells Fargo Sanctions Are on Ice Under Trump Official
- Josh Brown: Here's How to Buy Bitcoin, But Realize It Could Be One Giant Bubble
- Trump's New Tax Plan Could Cost Citigroup $20 Billion
- Morgan Stanley Fires Former Congressman Harold Ford Jr.
- Al Franken Will Resign Over Sexual Misconduct Allegations - His Full Resignation Speech
- Ex-NFL Player Gets 40 Years for Running $10Mn Fraud
- Bitcoin Blows Past $15K, Adding $2K in Under 12 Hours
- Financial Adviser Settles Charges for Defrauding Private Equity Fund Investors
- New Cross Market Equity Supervision Report Cards - FINRA Phone-In Workshop, WebEx Presentation
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NEWSLETTERS & ALERTS
Report on FINRA Examination Findings
FINRA released a Report on FINRA Examination Findings as another resource that firms can use to strengthen their compliance with securities rules and regulations. The report focuses on selected observations from recent examinations that FINRA considers worth highlighting due to their potential impact on investors and markets or the frequency with which they occur.
This report also describes certain practices that FINRA has observed to be effective in appropriate circumstances, which other firms may be able to use as a resource in tailoring their compliance and supervisory programs to their business. There should be no inference, however, that FINRA requires firms to implement any specific practices described in this report that extend beyond the requirements of existing securities rules and regulations.
FINRA expects that this report will evolve over time as we work to ensure that it is helpful in supporting firms’ compliance and supervisory efforts. FINRA welcomes feedback on this report, and asks that suggestion be sent to: (i) Daniel Sibears, EVP, Regulatory Ops/Shared Services [(202) 728-6911]; or, (ii) Steven Polansky, Sr. Director, Regulatory Ops/Shared Services [(202) 728-8331].
FINRA offers hIghlighted observations in the following areas:
- Outside Business Activities and Private Securities Transactions
- Anti-Money Laundering Compliance Program
- Product Suitability
- Best Execution
- Market Access Controls
► Alternative Investments Held in Individual Retirement Accounts (IRAs)
► Net Capital and Credit Risk Assessments
► Order Capacity
► Regulation SHO
► TRACE Reporting