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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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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