Top FINRA Exam Priorities in 2023

January 18, 2023 by Melanie Waddell

The Financial Industry Regulatory Authority’s just-released Examination and Risk Monitoring Program report gives broker-dealers insight into findings from recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs.

The report “addresses topics that remain perennially important, with updates to reflect evolving risks, industry trends and findings from FINRA’s recent oversight activities,” Greg Ruppert, executive vice president of member supervision, said in a statement releasing the report.

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Originally Posted at ThinkAdvisor on Janaury 10, 2023 by Melanie Waddell.