FINRA publishes its Report on Examination and Risk Monitoring Program | Reed Smith

On January 10, 2023, FINRA published its Report on FINRA’s 2023 Examination and Risk Monitoring Program.

The Report outlines for Member firms findings from oversight activities by FINRA’s “regulatory operations programs” (a/k/a activities by FINRA’s Member Supervision, Market Regulation and Enforcement programs). The 2023 Report contains a few new sections, including a new Financial Crimes section, as well as a new sub-section for Manipulative Trading.

Client Alert 2023-007