The FINRA Entitlement Program requires an annual review specifically evaluates that users have an ongoing need to access FINRA applications, may access only applications which are essential to job functions, and that users are authorized to access sensitive information, if necessary.
On December 20, 2018, the SEC’s OCIE announced its 2019 examination priorities. Key areas include cybersecurity, anti-money laundering (“AML”) programs, retail investors (particularly seniors), and entities providing critical market infrastructure services.