On Jan. 10, 2023, the Financial Regulatory Authority (FINRA) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (“Report”) in which it identifies the year’s areas of examination focus for FINRA Member Firms (“Firms”). This is the third year for FINRA’s new reporting system, which replaced the prior format for examination focus, the Risk Monitoring and Examination Program Priorities Letter.
2023 Report on FINRA’s Examination and Risk Monitoring Program
