Insights

  • Home
  • Insights
  • SEC and FINRA Broker-Dealer Exam Priorities for 2019: How to Prepare

Share

SEC and FINRA

SEC and FINRA Broker-Dealer Exam Priorities for 2019: How to Prepare

March 2019 Jones Day Publications

Earlier this year, the Financial Industry Regulatory Authority released its 2019 Annual Risk Monitoring and Examination Priorities Letter. These published priorities, together with the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations' 2019 examination priorities, furnish broker-dealers and other securities market participants with a non-exhaustive list of areas that each regulator plans to prioritize in the year ahead as part of its respective examination activities.

This White Paper provides an overview of the notable aspects of both regulators’ examination priorities that are particularly relevant to broker-dealers and suggests ways that broker-dealers can prepare for examinations on those topics.

Read the full white paper.

Insights by Jones Day should not be construed as legal advice on any specific facts or circumstances. The contents are intended for general information purposes only and may not be quoted or referred to in any other publication or proceeding without the prior written consent of the Firm, to be given or withheld at our discretion. To request permission to reprint or reuse any of our Insights, please use our “Contact Us” form, which can be found on our website at www.jonesday.com. This Insight is not intended to create, and neither publication nor receipt of it constitutes, an attorney-client relationship. The views set forth herein are the personal views of the authors and do not necessarily reflect those of the Firm.
You May Also Be Interested In

APRIL 2024 Commentary

New York's LLC Transparency Act: What You Need to Know

April 2024 Podcast

JONES DAY TALKS®: ESG Reporting Rules: The SEC, CSRD, and California- Who's on the Hook?

April 2024 Alert

QPAM Amendment Finalized: Prompt Action Required for Continued Reliance

April 2024 Reprint

United States Venture Capital (Legal 500 Country Comparative Guide)

Before sending, please note:

Information on www.jonesday.com is for general use and is not legal advice. The mailing of this email is not intended to create, and receipt of it does not constitute, an attorney-client relationship. Anything that you send to anyone at our Firm will not be confidential or privileged unless we have agreed to represent you. If you send this email, you confirm that you have read and understand this notice.