2023 FINRA Exam Report

On Jan. 10, 2023, the Financial Industry Regulatory Authority (FINRA) released its 2023 Exam Report, which highlighted key areas of risk noted during their exams and oversight. In this infographic, we break down the new topics in 2023 and highlight the topics which have recurred year after year. 

Download the 2023 FINRA Exam Report now!