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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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FINRA 2019 Annual Risk Monitoring and Examination Priorities Letter
January 22, 2019
by Howard Haykin
FINRA just published its highly anticipated (Annual Risk Monitoring and) Examination Priorities Letter that highlights issues of importance to FINRA's regulatory programs. A Cover Letter from FINRA CEO Robert Cook accompanies the Priorities Letter.
- Highlighted Items
- Online Distribution Platforms
- Fixed Income Mark-Up Disclosure
- Regulatory Technology
- Sales Practice Risks
- Suitability
- Senior Investors
- Outside Business Activities and Private Securities Transactions
- Operational Risks
- Supervision of Digital Assets Business
- Customer Due Diligence and Suspicious Activity Reviews
- Market Risks
- Best Execution
- Market Manipulation
- Market Access
- Short Sales
- Short Tenders
- Financial Risks
- Credit Risk
- Funding and Liquidity
Related Stories: Regulators
-
FINRA Election Notice: Upcoming Board of Governors Election
May 27, 2019 -
SEC and FINRA Compliance Outreach for Broker-Dealers
April 16, 2019 -
FINRA 'Inflates' Monetary Sanctions in Sanction Guidelines
March 1, 2019