Risk Control Assessment (RCA) Survey

Risk monitoring is one of FINRA's regulatory tools, and we continue to evaluate and refine our approach to monitoring developments at firms and across the industry to identify risks and assess their prevalence and impact. To ensure we are being as efficient and effective as possible in our overall Risk Monitoring and reporting effort, we are assessing a number of program elements, including the role of the Risk Control Assessment (RCA) of firms. As our evaluation is ongoing, we will not distribute a Risk Control Assessment (RCA) in 2019.