Rick Control Assessment Surveys due July 20

Around June 1, 2016, active FINRA member firms should have received an email asking them to take part in an individualized Risk Control Assessment Survey (“RCA Survey” or just simply “RCA”). The deadline for the RCA survey this year is Wednesday, July 20, 2016.

But what, exactly, is the RCA Survey?

FINRA utilizes the RCA survey to collect information from member firms about the risks associated with: the firm’s activities, the firm’s business model, the products and services the firm sells, and the types of clients and Read More…