FINRA’s 2020 Risk Monitoring and Examination Priorities Letter
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
This 2020 Risk Monitoring and Examination Priorities Letter describes the areas of focus for FINRA’s risk monitoring, surveillance and examination programs in the coming year. This letter addresses new and emerging areas in greater depth, and ongoing priorities with shorter summaries.
Robert Cook, FINRA President and CEO stated in his cover letter today, “The coming year will mark an important inflection point in FINRA’s risk monitoring and examination program. As recently announced, and informed by insights from FINRA360, FINRA has integrated three different examination programs into a single framework designed to better direct and align examination resources to the risk profiles and business models of member firms.”