In each of the past two years, FINRA has issued a report highlighting the shortcomings it identified in its examinations of broker-dealers and recommending effective practices to ensure compliance with applicable regulations. FINRA recently released its third annual examination findings report, which covers four broad categories of its supervisory activities: sales practices and supervision; firm operations, including cybersecurity, business continuity plans and best execution; market integrity; and financial management. This article summarizes FINRA’s key findings. For coverage of FINRA’s 2018 exam findings report, see “FINRA Report Highlights Common Broker-Dealer Compliance Shortcomings” (Jan. 24, 2019).