FINRA 2018 Regulatory and Exam Priorities Letter

The 2018 Regulatory and Examination Priorities Letter identifies topics that FINRA will focus on in the coming year, and these include some new topics as well as others that remain ongoing areas of focus. FINRA’s 2017 Examination Findings Report presents observations on both concerns and effective practices relevant to some of these areas, and FINRA encourages broker-dealers to use that report and this letter as resources to enhance their compliance, supervisory and risk management programs, and to prepare for their FINRA examination. FINRA’s Letter covers several areas of interest to members which fall under these categories


High-risk Firms and Brokers

Operational and Financial Risks

Sales Practice Risks

Market Integrity

See full Letter here