2019 Risk Monitoring and Examination Priorities of the Financial Industry Regulatory Authority

On January 22, 2019, the Financial Industry Regulatory Authority (“FINRA”) published the latest in its annual letters to member broker dealers identifying regulatory topics on which FINRA will focus in the coming year. As described in this publication, several of the topics identified by FINRA were also noted by the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) in its own 2019 Examinations Priorities Letter, which was issued in December 2018. Moreover, some of the priorities highlighted by FINRA for 2019 were previously identified in prior years.

View the topics and priorities identified by FINRA in the full publication here.