FINRA 2015 Risk Control Assessment Due Date
The 2015 Risk Control Assessment (RCA) which was issued on June 22. FINRA has requested that the survey be completed by Friday, July 17, 2015.
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Risk Control Assessment
Deadline for 2015 FINRA Risk Control Assessment Extended
FINRA has extended the deadline to complete the voluntary 2015 Risk Control Assessment (RCA) survey to July 31, 2015.
FINRA 2016 Risk Control Assessment Due
FINRA's 2016 Risk Control Assessment (RCA) survey launched earlier this month, when each firm's executive representative was sent an email linking to their firm's unique RCA survey. The RCA is an integral part of FINRA's risk-based examination and surveillance program. FINRA uses it to better understand the risks associated with the business activities in which … Continue reading FINRA 2016 Risk Control Assessment Due
2017 FINRA Risk Control Assessment ( RCA)
FINRA's 2017 Risk Control Assessment (RCA) survey has been launched. Each firm's executive representative and designated assistant should have received an email linking to their firm's unique RCA survey. The RCA is an important part of FINRA's risk-based surveillance and examination program. FINRA uses it to better understand the risks associated with the business activities … Continue reading 2017 FINRA Risk Control Assessment ( RCA)