Risk Control Assessment (RCA) Survey

The annual Risk Control Assessment (RCA) is an important part of FINRA’s risk-based examination and surveillance program. FINRA uses it to better understand the risks associated with the business activities in which individual member firms engage, the products and services they sell, and the kinds of customers and counterparties with which they deal. In addition, the RCA helps us identify and assess the integrity of the controls intended to manage those attendant risk exposures.

Completion of the annual RCA enables FINRA teams to have a more current understanding of a firm’s business profile, and thus helps us better focus our examination and surveillance activities. The improved risk-based focus results in more effective and efficient supervision, which may result in a lower regulatory burden for member firms.

On or around May 8, 2017, the executive representative (and their designated assistant, if applicable) of all firms will receive an email with a survey link that is unique to their firm. Firms are asked to complete the survey by the deadline of Friday, June 2, 2017.

If you have questions, please contact the FINRA RCA team or call the FINRA Gateway Call Center at (301) 869-6699.

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