The Annual Report provides transparency on FINRA’s recent examination findings and focus for the coming year.

On October 16, 2019, the Financial Industry Regulatory Authority (FINRA) published its annual Report on Examination Findings and Observations (Annual Report) for member firms and the general public. The Annual Report gives firms the opportunity to review recent findings by FINRA’s examination, surveillance, and risk monitoring program, and to proactively take corrective action to strengthen their internal compliance and supervisory programs in light of the findings.