FINRA Launches Examination and Risk Monitoring Program Consolidation

FINRA has announced plans to consolidate its Examination and Risk monitoring Programs. This will integrate three separate programs into a single, unified program to drive more effective oversight and greater consistency, reduce duplication and create a single point of accountability for the examination of firms.

This effort is a result of FINRA360, the organization’s ongoing, comprehensive self-evaluation and improvement initiative.

Planning for the consolidation is already underway, and FINRA will keep stakeholders updated as the effort progresses. In the meantime, read more about it in our press release.