Posts tagged Securities.
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Last week, FINRA published its 2022 Report on its Examination and Risk Monitoring Program (the “Report”), identifying key areas of focus for broker-dealer exams this year. The Report contains many of the same areas of focus as last year’s report, including anti-money laundering, cybersecurity, Reg BI and Form CRS, communications with the public, best execution and segregation of customer funds. Although the Report again identifies these general areas, it identifies new concerns and recent examination findings in those areas. In an effort to be user friendly, the Report highlights that new content in bold and identifies new areas for 2022. A key takeaway from the Report is the continued challenges posed by technology.
Blog Editors
Recent Updates
- Third Circuit Holds that the Public Disclosure Bar Precludes Qui Tam Actions Based on Information Available on Publicly Accessible Databases
- Supreme Court of Ohio Rules on a Peer-Review Privilege Issue in Stull v. Summa
- Agency Actions Remain Judicially Unreviewable Where Congress Has Legislated Clear Agency Authority - SCOTUS Today
- The Loper and Jarksey Era: Agency Power to Award Civil Penalties in SEC and FINRA Under Increased Scrutiny
- Navigating Regulatory Challenges in the Dietary Supplement Industry: Insights on NJ Assembly Bill No. 1848