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Expert Analysis

Emerging FINRA Priorities Include Digital Assets, Regtech

By Mirella deRose, Russell Johnston, Richard Margolies and Michael Watling (March 1, 2019, 2:44 PM EST) -- On Jan. 22, 2019, the Financial Industry Regulatory Authority released its 2019 Annual Risk Monitoring and Examination Priorities Letter. Late last year, as part of FINRA360 — the organization's ongoing improvement initiative — FINRA announced its plans to consolidate its examination and risk monitoring programs, integrating three separate departments into a uniform program. As reflected in the title of the priorities letter, FINRA's priorities apply to both its examination program and its risk monitoring responsibilities....

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