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ARTICLE · 05 FEBRUARY 2019

FINRA Announces 2019 Regulatory Priorities

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On January 22, 2019, the Financial Industry Regulatory Authority, Inc. ("FINRA") released its annual priorities letter highlighting its regulatory program's points of emphasis for the coming year.

United StatesGovernment, Public Sector
Jeff Kern
Jeff Kern
Kate Ross
Kate Ross
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On January 22, 2019, the Financial Industry Regulatory Authority, Inc. ("FINRA") released its annual priorities letter highlighting its regulatory program's points of emphasis for the coming year. The most immediately recognizable difference between this year's edition and previous ones is that its traditional title, "Examination Priorities," has been updated to include "Risk Monitoring," the process by which the self-regulatory organization initially identifies problem areas through surveillance, firm reporting, surveys, questionnaires, and examination findings.

FINRA's 2019 "Risk Monitoring and Examination Priorities Letter" (the "Letter") also discusses three entirely new priorities: online distribution platforms, fixed income mark-up disclosure, and regulatory technology. Finally, the Letter lists ongoing areas of focus, and alerts firms that it will continue to assess protocols to handle the risks posed by "bad actors" with problematic regulatory histories.

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