The 2026 FINRA Annual Regulatory Oversight Report (the “Report”) provides FINRA member firms (“firms”) with insight into findings from FINRA’s regulatory operations programs. The Report reflects FINRA’s commitment to providing transparency to firms and the public about our regulatory observations and activities. Click here for the full report.
The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the Division plans to focus on in the new fiscal year and to encourage firms to direct their compliance efforts on areas of […]
The 2025 FINRA Annual Regulatory Oversight Report (the Report) provides FINRA member firms (firms) with insight into findings from FINRA’s regulatory operations programs. The Report reflects FINRA’s commitment to providing transparency to firms and the public about our regulatory observations and activities. Click here to access the Report.
The Securities and Exchange Commission’s Division of Examinations released its 2025 examination priorities. The Division publishes its examination priorities annually to inform investors and registrants of potential risks in the U.S. capital markets and to make them aware of the examination topics that the Division plans to focus on in the new fiscal year.