2015 Risk Control Assessment (RCA) Survey

FINRA plans to administer this year’s RCA in the May/June timeframe—and will announce the specific date in the Weekly Update email. The RCA is an important part of FINRA’s risk-based examination program, in that the information collected from firms helps us better understand firms’ businesses so examiners can arrive for examinations focused on any areas that pose a real risk to investors. As we have in the past, we analyzed the previous RCA results to improve the survey and to provide a faster, more focused experience.