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  • Rules & Guidance
      1. R&G section 1
        1. FINRA Manual
          1. Updates
        2. Interpreting the Rules
          1. Notices
          2. Guidance
          3. Frequently Asked Questions
          4. Key Topics
          5. Interpretive Questions
      2. R&G section 2
        1. The Rulemaking Process
          1. Rule Filings
          2. Rule Filing Status Report
          3. Requests for Comments
          4. Rulebook Consolidation
        2. Adjudication & Decisions
          1. National Adjudicatory Council (NAC)
          2. Office of Hearing Officers (OHO)
      3. R&G section 3
        1. Enforcement
          1. Disciplinary Actions Online
          2. Monthly Disciplinary Actions
          3. Sanction Guidelines
          4. Individuals Barred by FINRA
  • Registration, Exams & CE
      1. Registration section 1
        1. Registration
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      2. Registration section 2
        1. Qualification Exams
          1. Securities Industry Essentials Exam (SIE)
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          3. All
        2. Continuing Education (CE)
      3. Registration section 3
        1. Registration Systems
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  • For Investors
      1. For Investors section 1
        1. Investor Insights
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      2. For Investors section 2
        1. Investing
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        2. Protect Your Money
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      3. For Investors section 3
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  1. Rules & Guidance
  2. Guidance
  4. 2023 Report on FINRA’s Examination and Risk Monitoring Program
EXPLORE THIS SECTION

2023 Report on FINRA’s Examination and Risk Monitoring Program

  • Introduction
    • Selected Highlights
    • How to Use the Report
  • Financial Crimes
    • Cybersecurity and Technology Governance
    • Anti-Money Laundering, Fraud and Sanctions
    • Manipulative Trading
  • Firm Operations
    • Outside Business Activities and Private Securities Transactions
    • Books and Records
    • Regulatory Events Reporting
    • Firm Short Positions and Fails-to-Receive in Municipal Securities
    • Trusted Contact Persons
    • Funding Portals and Crowdfunding Offerings
  • Communications and Sales
    • Reg BI and Form CRS
    • Communications with the Public
    • Private Placements
    • Variable Annuities
  • Market Integrity
    • Consolidated Audit Trail (CAT)
    • Best Execution
    • Disclosure of Routing Information
    • Fixed Income – Fair Pricing
    • Fractional Shares: Reporting and Order Handling
    • Regulation SHO – Bona Fide Market Making Exemptions and Reuse of Locates for Intraday Buy-to-Cover Trades
  • Financial Management
    • Net Capital
    • Liquidity Risk Management
    • Credit Risk Management
    • Portfolio Margin and Intraday Trading
    • Segregation of Assets and Customer Protection
  • Appendix—Using FINRA Reports in Your Firm’s Compliance Program

Financial Crimes

NEW FOR 2023

  • Cybersecurity and Technology Governance
  • Anti-Money Laundering, Fraud and Sanctions
  • Manipulative Trading NEW FOR 2023
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Financial Crimes
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Cybersecurity and Technology Governance

Download the Report

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ARBITRATION & MEDIATION

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