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Compliance Concepts

Report on FINRA Examination Findings

December 6, 2017

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:


  • Cybersecurity
  • Outside Business Activities and Private Securities Transactions
  • Anti-Money Laundering Compliance Program
  • Product Suitability
  • Best Execution
  • Market Access Controls
  • Others

►    Alternative Investments Held in Individual Retirement Accounts (IRAs)

►    Net Capital and Credit Risk Assessments

►    Order Capacity

►    Regulation SHO

►    TRACE Reporting