2022 FINRA Exam Priorities - Year of the Retail Investor

Presented by

Elin Cherry, CEO Elinphant LLC - Tiffany Magri, Regulatory Advisor, Smarsh - Robert Cruz, VP Information Governance, Smarsh

About this talk

Retail investors joined the trading market at an unprecedented rate in 2021. Approximately 6 million people downloaded trading apps in January 2021, leading to record-high average daily volumes for trading with retail brokerages. In light of this surge, FINRA is focusing their efforts in 2022 on investor protection and market integrity. Retail investor protection issues will be an ongoing theme, along with other emerging trends like crypto, RegBI enforcement, and response to hybrid work practices. Join us for an analysis of the FINRA Exam and Risk Monitoring Priorities Letter. We’ll dive into the priorities and provide concrete tips on how you can avoid the pitfalls of other firms who fell short in their processes, practices, and conduct. Our experts will discuss: - How FINRA will focus on “finfluencers” and other firm communications targeting retail investors - The current state of regulation of cryptocurrencies, including disclosure requirements - The impact of new rules focused on higher risk Restricted Firms - Updates on FINRA oversight practices in light of COVID and hybrid work
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