The Financial Industry Regulation Authority ( FINRA ) has outlined its annual regulatory priorities announcing it will be scrutinising the stated and unstated rules , policies , practices and behaviours that govern how companies operate and interact with customers . The Financial Industry Regulatory Authority (FINRA) today released its 2016 Regulatory and Examination Priorities Letter highlighting three broad issues – supervision, risk management and controls; and liquidity. In addition , its investigations will focus on anti - money behaviour , cyber security , management of conflicts of interest and technology management , amongst other things . Regulators will be looking at how discipline is meted out amongst high - producing and low producing advisers ; previously , brokerage firms generally gave second notice to their so - called top producers when violations were discovered , however , banks such as Merrill Lynch are increasingly taking a zero - tolerance approach .
The Financial Industry Regulation Authority ( FINRA ) has outlined its annual regulatory priorities announcing it will be scrutinising the stated and unstated rules , policies , practices and behaviours that govern how companies operate and interact with customers . In addition , its investigations will focus on anti - money behaviour , cyber security , management of conflicts of interest and technology management , amongst other things . Regulators will be looking at how discipline is meted out amongst high - producing and low producing advisers ; previously , brokerage firms generally gave second notice to their so - called top producers when violations were discovered , however , banks such as Merrill Lynch are increasingly taking a zero - tolerance approach .