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FINRA Utility Menu

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FINRA DATA

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

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For Industry Professionals

FINPRO

Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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  1. Rules & Guidance
  2. Guidance
  4. 2023 Report on FINRA’s Examination and Risk Monitoring Program
EXPLORE THIS SECTION

2023 Report on FINRA’s Examination and Risk Monitoring Program

  • Introduction
    • Selected Highlights
    • How to Use the Report
  • Financial Crimes
    • Cybersecurity and Technology Governance
    • Anti-Money Laundering, Fraud and Sanctions
    • Manipulative Trading
  • Firm Operations
    • Outside Business Activities and Private Securities Transactions
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  • Communications and Sales
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    • Variable Annuities
  • Market Integrity
    • Consolidated Audit Trail (CAT)
    • Best Execution
    • Disclosure of Routing Information
    • Fixed Income – Fair Pricing
    • Fractional Shares: Reporting and Order Handling
    • Regulation SHO – Bona Fide Market Making Exemptions and Reuse of Locates for Intraday Buy-to-Cover Trades
  • Financial Management
    • Net Capital
    • Liquidity Risk Management
    • Credit Risk Management
    • Portfolio Margin and Intraday Trading
    • Segregation of Assets and Customer Protection
  • Appendix—Using FINRA Reports in Your Firm’s Compliance Program

Market Integrity
  • Consolidated Audit Trail (CAT)
  • Best Execution
  • Disclosure of Routing Information
  • Fixed Income – Fair Pricing NEW FOR 2023
  • Fractional Shares: Reporting and Order Handling NEW FOR 2023
  • Regulation SHO – Bona Fide Market Making Exemptions and Reuse of Locates for Intraday Buy-to-Cover Trades NEW FOR 2023
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Variable Annuities
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Market Integrity
Next:
Consolidated Audit Trail (CAT)

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