In a recent blog, we provided key takeaways from FINRA's 2023 Examination and Risk Monitoring Program Report. This blog will take a closer look at FINRA's top enforcement issues in 2022. Fines Trending Down According to Eversheds Sutherland's annual report of FINRA's...
This January, FINRA published the 2023 Report on FINRA’s Examination and Risk Monitoring Program. The Report provides essential guidance for compliance officers and is devised to inform member firms' compliance programs by delivering annual insights from FINRA's...
In a recent blog, we provided an overview and key takeaways of FINRA’s 2022 Examination and Risk Monitoring Program Report. Over the past several years, FINRA has made the sales and supervision of variable annuities a priority. In their new report, the self-regulatory...
Our last blog provided an overview and key takeaways of FINRA’s 2022 Examination and Risk Monitoring Program Report. In this blog, we will take a closer look at FINRA’s top enforcement issues in 2021. According to Eversheds Sutherland’s annual report of FINRA’s...
This February, FINRA released the 2022 Report on its Examination and Risk Monitoring Program. The report is designed to inform member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations. In a press release, Greg Ruppert,...