FINRA Publishes 2022 Report on Exam and Risk Monitoring Program


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Includes Initial Findings From Reg BI Exams; Highlights Emerging and Ongoing Regulatory Topics

Washington, D.C. – FINRA today published its 2022 Report on FINRA’s Examination and Risk Monitoring Program to provide insights from FINRA’s oversight programs to FINRA member firms. The 70-page Report covers 21 different topics—including five new subjects—relevant to an evolving securities industry.

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