FINRA Exams Show Greater Cybersecurity, Comms Focus
Law360 (November 7, 2019, 2:05 PM EST) -- The U.S. Financial Industry Regulatory Authority recently released its 2019 report on its examination findings and observations. Although FINRA has released reports on its examination findings since 2017, this year’s report comes earlier than years prior, and takes pains to distinguish findings from observations, which member firms may find useful as they seek to integrate FINRA guidance into their compliance programs.
Since FINRA requires broker-dealer compliance programs to be both risk-weighted and tailored to the entity, firms should take particular note of FINRA’s separation of findings — which are FINRA’s determination of a violation of FINRA or U.S. Securities and Exchange...
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