WASHINGTON — FINRA today released its 2019 Risk Monitoring and Examination Priorities Letter, highlighting new priorities as well as identifying areas of ongoing concern that FINRA will continue to review in the coming year. This year’s letter’s focus on materially new issues may help firms better identify those priorities that are relevant to their business.
Among the emerging issues identified
October 2018 Supplement to the Options Disclosure Document
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
As part of a technology upgrade, FINRA has implemented improved interfaces to retrieve data and has established naming conventions that follow industry standards. This change will promote consistent column names, both in the file download feature and API access.
FINRA will change column names and the order in which the columns are displayed in the download files. FINRA will support a new
FINRA Updates Supplemental Statement of Income
As part of a technology upgrade, FINRA has implemented improved interfaces to retrieve data and has established naming conventions that follow industry standards. This change will promote consistent column names, both in the file download feature and API access.
FINRA will change column names and the order in which the columns are displayed in the download files. FINRA will support a new
SSOI Sample file for import - XML File
The vast majority of interactions between investors and investment professionals are positive. However, sometimes the relationship doesn’t go as planned and you may find yourself considering arbitration or mediation. There are many factors to consider as you proceed down these paths, such as should you hire an attorney.
