Did FINRA Just Preview its 2023 Report?
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...
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Regulatory Notice 22-10
FINRA just posted guidance on potential Chief Compliance Officer liability stemming from Rule 3110 violations in Regulatory Notice 22-10.
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The MQP
Defend Yourself
EXAMS’ Risk Alert on Advisers Act Section 204A and the Code of Ethics Rule
FINRA’s April 2022 Disciplinary and Other Actions
Expungement of Complaints...
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The 2022 Report on FINRA’s Examination and Risk Monitoring Program
The 2022 Report is Worthy Reading for Every Compliance Officer
If you are in the broker-dealer industry, reading the 2022 Report on FINRA’s Examination and Risk Monitoring Program is worth your time and attention – especially if you are a supervisory principal or other compliance officer. FINRA not only highlights key issues in...
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