19-03035(1).pdf
Amended
FINRA Publishes 2023 Report on Exam and Risk Monitoring Program
Report Reflects New and Evolving Risks, Industry Trends, and Noteworthy Findings
WASHINGTON—FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs.
The comprehensive report from FINRA’s regulatory operations covers 24 topics — including four new topics — relevant to the evolving securities industry.
2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program
The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. On this episode, three Member Supervision senior leaders join us to dig into some of the new and noteworthy regulatory topics in the 2023 Report on FINRA’s Examination and Risk Monitoring Program.
17-01930(4).pdf
Order to Confirm
19-03576(4).pdf
Order to Confirm
17-01775(4).pdf
Order to Confirm
2020066349702 Scott P. Smith CRD 4522269 AWC va (2023-1675642795080).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066349702
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Scott P. Smith (Respondent)
General Securities Representative
CRD No. 4522269
Pursuant to FINRA Rule 9216, Respondent Scott P. Smith submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.