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FINRA Will Consolidate Examination, Risk-Monitoring Programs

October 5, 2018

The Financial Industry Regulatory Authority (FINRA) announced that it plans to consolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single, unified program to drive more effective oversight and greater consistency, eliminate duplication and create a single point of accountability for the examination of firms. The effort is a result of FINRA360, the organization’s ongoing comprehensive self-evaluation and improvement initiative. Click here for more information.