Events listed in [FINRA] Financial Industry Regulatory Authority
FINRA Publishes 2023 Report on Exam and Risk Monitoring Program
ID 21395
The Financial Industry Regulatory Authority, FINRA, has issued a press release to announce the publication of the 2023 Report on FINRA’s Examination and Risk Monitoring Program. The report is meant to provide guidance to member firms regarding important regulatory issues and compliance with such. The issues covered in the report thereby include the following, among others: (1) (compliance with) regulation best interest; (2) best ...
Regulatory Notice 23-01
ID 21357
After sending e-bills to supervised firms, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 23-01 in connection with its annual Renewal Program to remind broker-dealers, investment adviser firms, agents and investment adviser representatives, and branches of their obligation to pay their yearly licensing, branch, and – if applicable – processing fees by January 27, 2023 and to support them in their reconciliation of ...