{"id":1019,"date":"2020-01-17T16:48:58","date_gmt":"2020-01-17T16:48:58","guid":{"rendered":"http:\/\/localhost\/?p=1019"},"modified":"2020-01-17T16:48:58","modified_gmt":"2020-01-17T16:48:58","slug":"finra-2-0-finra-releases-its-2020-risk-monitoring-and-examination-priorities","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2020\/01\/17\/finra-2-0-finra-releases-its-2020-risk-monitoring-and-examination-priorities\/","title":{"rendered":"FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities"},"content":{"rendered":"

FINRA\u2019s examination program has undergone its most significant reorganization in decades. As stated in this\u00a0press release<\/a>, FINRA\u2019s goal for the reorganization was to \u201cconsolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single, unified program to drive more effective oversight and greater consistency, eliminate duplication and create a single point of accountability for the examination of firms.\u201d The new look of the examination program was released<\/a>, along with new management, on Dec. 12, 2019.<\/p>\n

For\u00a02020, FINRA is prioritizing risk monitoring, surveillance, and examination programs to further its mission of investor protection and market integrity.\u00a0 The examination priorities are organized around four themes, which build on FINRA\u2019s priorities from prior years: Sales practice and supervision; Market integrity; Financial management; and Firm operations.<\/p>\n

Read more here.<\/a><\/p>\n

Additional contributors to this post:<\/p>\n

Emily Gordy<\/a>,\u00a0 egordy@mcguirewoods.com<\/a><\/p>\n

Anitra T. Cassas<\/a>,\u00a0 acassas@mcguirewoods.com <\/a><\/p>\n

Molly M. White<\/a>,\u00a0mwhite@mcguirewoods.com<\/a><\/p>\n

Piper A. Waldron<\/a>,\u00a0pwaldron@mcguirewoods.com <\/a><\/p>\n

 <\/p>\n","protected":false},"excerpt":{"rendered":"

FINRA\u2019s examination program has undergone its most significant reorganization in decades. As stated in this\u00a0press release, FINRA\u2019s goal for the reorganization was to \u201cconsolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single, unified program to drive more effective oversight and greater consistency, eliminate duplication and create a single point of … Continue reading FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities<\/span> →<\/span><\/a><\/p>\n","protected":false},"author":91,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,21,22],"tags":[],"class_list":["post-1019","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1019","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/91"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1019"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1019\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1019"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1019"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1019"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}