On Feb. 9, 2022, the Financial Industry Regulatory Authority (FINRA) released its 2022 Report on FINRA’s Examination and Risk Monitoring Program (Report), in which it identifies its areas of examination focus for FINRA Member Firms (Firms) in 2022. This is the second year of FINRA’s new reporting system, which replaced the prior format for examination
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2021 Report on FINRA’s Examination and Risk Monitoring Program
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