The Report outlines for Member firms findings from oversight activities by FINRA’s “regulatory operations programs” (a/k/a activities by FINRA’s Member Supervision, Market Regulation and Enforcement programs). The 2023 Report contains a few new sections, including a new Financial Crimes section, as well as a new sub-section for Manipulative Trading.

If you are interested in talking through the Report, please contact a member of our Broker-Dealer and Investment Adviser team.

Please also note, that on January 18, 2023 Reed Smith will sponsor the first SIFMA monthly luncheon at the Harvard Club in NYC. The topic for that luncheon is FINRA’s 2023 Priorities and Examination Findings. Registration for the luncheon is open.

Client Alert 2023-007ii