In Regulatory Notice 22-08, FINRA reminds its membership of their obligations when selling certain products and invites comment on whether the current regulatory framework is sufficient given today’s practices. Industry members should also note that at page 9 FINRA offers a few observations stemming from its current targeted exam of options accounts and transactions. Did we just get a preview of FINRA’s 2023 examination report?
Are you or your firm dealing with a FINRA examination or other matter? Please contact me to discuss.
Read more:
- The 2022 Report on FINRA’s Examination and Risk Monitoring Program
- Social Media Hygiene and Recordkeeping
- FINRA’s April 2022 Disciplinary and Other Actions
- FINRA’s March Disciplinary Actions
- Finding Balance as a Lawyer, Part 1: Food
- Expungement of Complaints from the CRD
- Reporting to the Consolidated Audit Trail (CAT)
- About Ryan
Thank you for reading this article. Please know that I wrote it for informational purposes only (some may consider it ADVERTISING MATERIAL) and did not intend for it to be legal advice or to form an attorney-client relationship with you – especially in jurisdictions where I am not licensed to practice law. I encourage you to seek your own counsel to help you with your specific situation. To that end, I invite you to contact me if you would like to discuss my services.
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