Risk Control Assessment (RCA) Survey

The Risk Control Assessment (RCA) is a survey that FINRA uses to better understand the business activities in which individual member firms engage, the products and services they sell, the kinds of clients and counterparties with which they deal, and to further understand risks associated with those business models. In addition, the RCA helps us identify and assess the integrity of the controls intended to manage those attendant risk exposures.

The RCA is an important part of FINRA’s risk-based examination program because it allows examiners to streamline their examinations and focus on areas that may pose a real risk to investors.

On or about June 22, 2015, FINRA will deliver an email to the executive representative of each firm with a survey link that is unique to their firm. Firms are asked to complete the survey by Friday, July 17, 2015.

If you have questions, please contact the FINRA Gateway Call Center at (240) 386-4001.