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    2019 FINRA and SEC Examination Priorities
    Business Development

    2019 FINRA and SEC Examination Priorities

    written by FIG Marketing

    This post on 2019 FINRA and SEC examination priorities sets to help you avoid a nightmare. One of the least favorite activities a firm goes through is a regulatory examination. Broker-dealers (BDs) and registered investment advisors (RIAs) know they’ll be examined by their regulatory authority. Ensuring their firms and their registered associates are prepared is key.

    Each year, both FINRA and the SEC draft a list of key items their examiners will focus on in the new year. These lists are better known as “examination priorities”. It’s important to note that while a regulator issues a specific list of exam priorities, it doesn’t mean in any way this is all one could expect an examiner to look into if an examination occurs.

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    2019 FINRA and SEC Examination Priorities was last modified: September 6th, 2023 by FIG Marketing
    March 12, 2019
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  • Business Development

    Compliance Corner: DOL Fiduciary Rule Update and Industry News

    by FIG Marketing April 11, 2018

    Some of us have seen the stories and read the news regarding the DOL’s fiduciary rule and the Fifth Circuit Court of Appeals decision to vacate the rule. This result was certainly…

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  • Business Development

    Compliance Corner: Remember Your DOL Fiduciary Rule Requirements

    by FIG Marketing February 13, 2018

    Time to talk (again) about our industry’s favorite topic (not really) … the Department of Labor’s (DOL) fiduciary rule. First, some of you may be thinking that there’s nothing new to talk…

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