FINRA Publishes 2023 Report on Exam and Risk Monitoring Program

Feb 23, 2023

Report Reflects New and Evolving Risks, Industry Trends, and Noteworthy Findings

WASHINGTON—FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs.

The comprehensive report from FINRA’s regulatory operations covers 24 topics — including four new topics — relevant to the evolving securities industry.

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