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Saturday, January 20 2018

FINRA 2018 Regulatory Exam Priorities

On January 8, 2018, FINRA released a 2018 Regulatory Exam Priorities Letter. The letter highlights specific areas where FINRA will focus their exam priorities and indicates specific areas of opportunity for FINRA members to improve their compliance programs. Considering rapidly changing technology and changes in regulation, it is critical for firms to constantly review and update their policies and procedures. The 2018 exam priorities letter, provided by FINRA, should be used as a point of reference when performing your firm’s at least annual review of the compliance program. Below is a list of items addressed in the FINRA 2018 Exam Priorities Letter:

  • Fraud
  • High-risk Firms and Brokers
  • Business Continuity Planning
  • Customer Protection and Verification of Assets
  • Technology Governance
  • Cyber Security
  • Anti-Money Laundering
  • Liquidity Risk
  • Short Sales
  • Suitability
  • Initial Coin Offerings and Cryptocurrencies
  • Use of Margin
  • Securities Backed Lines of Credit
  • Manipulation
  • Best Execution
  • Regulation SHO
  • Fixed Income Data Integrity
  • Options
  • Market Access
  • Alternative Trading System Surveillance

Red Oak can help you establish written policies procedures that are compliant and effective, and manage your ongoing compliance program. If you have any questions or concerns or would like us to assist you with your compliance program, please call 888.302.4594 or email us and we will be happy to assist.