April 18, 2018

Exam Priorities: How Gainfully Can Help You

Mengfei He
Director of Operations
Cameron Nordholm

A new year - and new exam priorities! The SEC and FINRA have released their 2018 exam priorities, which highlight principal risk and anticipated exam focus areas. We are here to help support your compliance efforts as you prepare for your next exam.

Record Retention (SEA Rule 17a-3 and Rule 17a-4)

Compliance with record retention requirements may not be the soup du jour, but it will always be critically important. Don’t want to have to tell the examiners that a requested record is missing or has not been maintained? We’ve got your back! We can help you capture content and communications across social media, email, and text messaging all in one place.

Compliance Controls and Supervision

Largely consistent with the priorities identified in 2017, the SEC and FINRA will continue to focus on assessing the adequacy of your compliance controls. We make it easy for you to implement appropriate controls! You can distribute pre-approved content and also approve content before it is shared. Additionally, you can monitor and supervise communications in real time and via lexicon-based surveillance. If you ever want to adjust the controls in preparation for your next exam, you can do so effortlessly on our platform as well.


The more things change, the more things stay the same. In 2018, the SEC and FINRA will continue to prioritize cybersecurity. We're helping our customers by implementing security by design, ensuring every connection encrypted, including Gainfully Presence messaging, enabling fast, secure communications.

About Me

After graduating from law school, Mengfei began her career at FINRA, where she examined broker-dealers in the San Francisco Bay Area for compliance with securities regulations. Mengfei helps Gainfully stay abreast of the shifting compliance landscape. Want to learn more about how Gainfully can support your compliance efforts? Check out our blog posts here: https://gainful.ly/category/compliance/The information contained in the Gainfully website is provided for informational purposes only, and should not be construed as legal or compliance advice on any subject matter.

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