TRADEliance Takes on FINRA Exam Priorities

Fines & Wines

Feb 9 2023 • 32 mins

Listen to Jesy and Kat discuss the 2023 Report on FINRA's Examination and Risk Monitoring Program!

We couldn't cover everything in the 75 page report, but we do manage to tackle the following topics:

  • Market Integrity
  • Books and Records
  • Firm Short Positions and Fails to Receive in Municipal Securities
  • Reg BI
  • CAT
  • Best Execution
  • Disclosure of Routing Information
  • Fixed Income Fair Pricing, Fractional Shares and
  • Reg SHO.

Also - Jesy is sick and drinking boxed wine, while Kat gets fancy enjoying some Prosecco.

The link to the AWC Jesy referred to during the podcast is here.


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