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Jan 15, 2020

RCI overlay of FINRA 2019 Exam Findings

FINRA recently released its annual 2019 Report on FINRA Examination Findings and Observations. This excellent summary of what FINRA has found from its examinations and observed practices highlights real-world areas of concern.

Jun 18, 2019

Sprint to the finish line: will FINRA meet CAT deadlines?

The Financial Industry Regulatory Authority (FINRA) may be facing its toughest technology challenge ever with the Consolidated Audit Trail (CAT). With complex and evolving business requirements, robust performance and scaling considerations, serious security posture scrutiny, and a timeframe of under one year to pull it all together, everyone (especially the broker-dealers subject to reporting) wants to know: will they really get it done on time?

Apr 3, 2019

Being proactive and self-disclosing about 529 share class suitability

FINRA is asking its member firms to quickly identify any suitability issues in 529 accounts where the recommendations made were inconsistent with the investor’s investment objectives.


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