Sara Raisner

Sara Raisner

A&O Shearman

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2023 Report on FINRA’s Examination and Risk Monitoring Program

On January 10, 2023, the Financial Industry Regulatory Authority (“FINRA”) issued its 2023 Report on FINRA’s Examination and Risk Monitoring Program (the “Report”). The Report, which is a more comprehensive version of FINRA’s...more

1/20/2023  /  Anti-Money Laundering , Broker-Dealer , Compliance , Cybersecurity , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Reporting Requirements , Securities and Exchange Commission (SEC)
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