2023 Report on FINRA’s Examination and Risk Monitoring Program

The 2023 Report on FINRA’s Examination and Risk Monitoring Program provides member firms with insight into findings from the recent oversight activities of FINRA’s Member Supervision, Market Regulation, and Enforcement programs.

The Report introduces a new Financial Crimes section, comprising three topics—Anti-Money Laundering (AML), Fraud, and Sanctions; Cybersecurity and Technological Governance; and Manipulative Trading—that highlight FINRA’s increased focus on protecting investors and safeguarding market integrity against these ongoing threats.