In February, the Financial Industry Regulatory Authority released the 2022 Report on FINRA’s Examinations and Risk Monitoring Program, providing guidance to the broker-dealer industry.

Read on for a discussion of key topics addressed in this year’s report.

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Photo of Elizabeth J. Hogan Elizabeth J. Hogan

Elizabeth Hogan (“Lizzie”) is co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group. As the former senior vice president and leader of Market Regulation Enforcement at the Financial Industry Regulatory Authority (FINRA), Lizzie has unique insight into the priorities and procedures…

Elizabeth Hogan (“Lizzie”) is co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group. As the former senior vice president and leader of Market Regulation Enforcement at the Financial Industry Regulatory Authority (FINRA), Lizzie has unique insight into the priorities and procedures of financial services regulators, including the SEC, FINRA, the exchanges, and state securities regulators and attorneys general. Lizzie represents clients in complex securities matters, focusing on investigations, regulatory enforcement proceedings, and litigation.

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Photo of John Ayanian John Ayanian

John is co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group and advises clients on broker-dealer and securities market regulatory matters. He counsels U.S. and foreign financial institutions and markets on all aspects of their U.S. securities trading, markets, and clearing

…

John is co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group and advises clients on broker-dealer and securities market regulatory matters. He counsels U.S. and foreign financial institutions and markets on all aspects of their U.S. securities trading, markets, and clearing activities. These include issues arising under U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules.

Read more about John Ayanian
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