FINRA'S 2022 Exam and Risk Monitoring Program Report

FINRA today published its 2022 Report on FINRA’s Examination and Risk Monitoring Program to provide insights from FINRA’s oversight programs to FINRA member firms. The Report covers 21 different topics—including five new subjects—relevant to an evolving securities industry.

Similar to last year, this Report looks at these issues through the lens of FINRA’s commitment to investor protection and market integrity, so that firms’ compliance programs can benefit from our findings about emerging and ongoing issues. In it, we summarize noteworthy findings from recent examinations, outline effective practices that FINRA observed, and provide additional compliance resources.