Broker-dealer examinations are an essential tool used by FINRA to accomplish its mission of protecting investors and promoting market integrity. FINRA recently issued a report detailing the compliance issues that it commonly encounters in its examinations of its members. In an effort to assist broker-dealer firms in strengthening their compliance programs and supervisory controls, the report identifies the issues that FINRA believes have the most frequent and significant impact on investors and markets. It also highlights effective compliance practices that firms have adopted. This article highlights the key findings of the report. See “FINRA Outlines Its Regulatory and Examination Priorities for 2018” (Feb. 8, 2018). See also our three-part series on the duty to supervise: “Recent SEC Enforcement Actions Claim Violations by Broker-Dealers and Investment Advisers” (Sep. 6, 2018); “Conduct Proper Trade and Electronic Communications Surveillance” (Sep. 13, 2018); and “Respond to Red Flags; Implement Reasonable Policies and Procedures; and Conduct Adequate Training” (Sep. 20, 2018).