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ARTICLE · 14 DECEMBER 2017

FINRA Issues Report On Its Examination Findings

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In December 2017, FINRA issued a report highlighting several key findings from its recent examinations of broker-dealer members.

United StatesFinance and Banking
Lloyd Harmetz
Lloyd Harmetz
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In December 2017, FINRA issued a report highlighting several key findings from its recent examinations of broker-dealer members.  The report is available here.

The report focuses on several observations from recent examinations that FINRA believed would be worth highlighting to members.  Of course, the report cannot list all of FINRA's concerns; however, FINRA selected these issues based on their "potential impact on investors and markets or the frequency with which they occur."  The report also describes a number of practices that FINRA has observed to be helpful for some members in carrying out their duties.

The report covers a fairly wide variety of regulatory and compliance areas, which are summarized below.

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