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FINRA 2018 Exam Findings Report and Regulatory Update Reminder

SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities
December 27, 2018
FINRA Highlights Online Platforms, Mark-Up Disclosure & Compliance, RegTech in 2019 Exam Priorities
January 25, 2019

On December 7, 2018, FINRA released their annual Exam Findings Report. This is an important tool for Member Firms to leverage when prioritizing their compliance initiatives for 2019. CRC has reviewed this report and summarized key takeaways in FINRA 2018 Exam Findings Report and Regulatory Update Reminder.

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