Subscription Center  

Articles

"FINRA's Top 6 Concerns in 2018" article by Venable partners, Michael Manley, Ed Wilson, Jr., and Andrew Bigart, and associate Charles Alvis was published in Corporate Compliance Insights on March 14, 2018. Here is an excerpt:

In January, FINRA released its annual Regulatory and Examinations Priorities Letter. As with prior editions, the letter explains the areas of risk and concern that will guide FINRA's examination and regulatory programs for the coming year. The letter gives firms notice of upcoming and ongoing FINRA initiatives and helps firms evaluate how to strengthen their compliance, supervision and risk management internal controls. FINRA President and CEO, Robert Cook, framed FINRA's mission for 2018 as follows: to protect investors and promote market integrity in a manner that facilitates vibrant capital markets. In 2018, FINRA's priorities will include a focus on six specific areas: fraud, high-risk firms and brokers, operational and financial risks, sales practice risks, market integrity, and new rules.