A Guide To FINRA’s 2021 Compliance Goals

A Guide to FINRA’s 2021 Compliance Goals

The Financial Industry Regulatory Authority (FINRA) recently published their 2021 Report on FINRA’s Examination and Risk Monitoring Program. The report contains insights for FINRA’s regulatory operations and is designed to guide the compliance efforts of member firms. In the broadest sense, FINRA declares cybersecurity as “one of the principal operational risks facing broker-dealers,” expecting firms…

Max Totsky

Max Totsky is journalist based in Chicago. His writing can be found at Inc.com, PopMatters, and ADCG.org.

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