The Financial Industry Regulatory Authority (FINRA) has published a new report designed to help inform member firms’ compliance programs by providing annual insights from its examinations and risk monitoring programs.

The “2021 Report on FINRA’s Examination and Risk Monitoring Program” combines and replaces two of FINRA’s previously published annual reports that provided analysis of prior examination results and highlighted areas the organization planned to review in the coming year.

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Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,...