FINRA Publishes 2023 Report on Exam and Risk Monitoring Program

Report Reflects New and Evolving Risks, Industry Trends, and Noteworthy Findings

WASHINGTON—FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs.

The comprehensive report from FINRA’s regulatory operations covers 24 topics — including four new topics — relevant to the evolving securities industry.

2020066349702 Scott P. Smith CRD 4522269 AWC va (2023-1675642795080).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066349702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott P. Smith (Respondent) General Securities Representative CRD No. 4522269 Pursuant to FINRA Rule 9216, Respondent Scott P. Smith submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2018058924502 Adam James Makkai CRD 4025159 NAC Decision jlg (2023-1675642797130).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Adam James Makkai Castle Rock, CO, Respondent. DECISION Complaint No. 2018058924502 Dated: January 6, 2023 Registered representative paid securities transaction-based compensation to an unregistered person. Held, findings affirmed, and sanctions modified. Appearances For the Complainant: John R. Baraniak, Esq., Jennifer L. Crawford, Esq., Michael Manning, Esq., Department of Enforcement,
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