FINRA Priorities and Hot Topics 2021


On February 1, 2021, FINRA released its Risk Monitoring and Examination Priorities report for 2021. The report's format has changed this year, combining two previously published annual reports, the Report on Examination Findings and Observations and the Risk Monitoring and Examination Program Priorities Letter. The report outlines noteworthy takeaway's and practices from recent exams and addresses 18 regulatory risk areas.

This webcast will review key priorities and emerging risks identified by FINRA, share perspective on key challenges firms are facing in these areas, and effective practices firms can implement to be well positioned for a successful 2021.

​​​​​Discussion Topics

During this webcast, we'll discuss:

  • FINRA's 2020 examination findings
  • FINRA's 2021 examination priorities and focus areas such as:
    • Reg BI and Form CRS Communications with the public
    • Remote branch inspections
    • Private placements
    • Digital assets
    • AML emerging risks
    • Cybersecurity Broader
  • FINRA themes for 2021

We hope you will join us for an interactive discussion.