FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors try to manipulate the markets. This tremendous undertaking demands steadfast leadership.
On this episode, we meet Bill St. Louis, the former head of FINRA’s National Cause and Financial Crimes Detection Program and FINRA's new Executive Vice President and Head of Enforcement, to learn more about the man at the helm and what's on the horizon for Enforcement in the new year.
Resources mentioned in this episode:
2024 FINRA Annual Regulatory Oversight Report
FINRA Enforcement Homepage
FINRA Names Bill St. Louis as New Head of Enforcement
FINRA Fines BofA Securities $24 Million for Treasuries Spoofing
FINRA Expels Monmouth Capital Management
Qualification Exams
Gen Z Investors: A Look at the Attitudes and Behaviors of the Youngest Investors
Preventing Financial Exploitation: Steps for Safeguarding Senior Investors
The FINRA Examination Team: The Ins and Outs of FINRA’s Annual Program
In Review: Looking Forward with FINRA and Board Chair Eric Noll
Enforcement and Economics: Driving Better Case Outcomes Through Collaboration
A New Twist on New Account Fraud: Detecting and Preventing ACATS Fraud
2023 Senior Investor Protection Conference: The Latest Trends, Scams and Schemes
FINRA's Risk Monitoring Program: Understanding the Unique Risks of Every Firm
Encore | Membership Application Program: Reviewing and Approving Digital Asset Firms
Then and Now: Following Up with the New and Experienced Investors of 2020
Introducing REMA: Thinking Differently About Rulemaking, Decision-Making, Innovation and More
A New Tool for Compliance: FINRA’s Machine-Readable Rulebook Initiative
Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning
2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program
Gift Guide for CCOs: Top Five FINRA Compliance Tools and Resources
Encore | Fraud Stoppers: FINRA’s Market Investigations Group
Enhancing Your Compliance Practice with the FINRA Institute at Georgetown CRCP Program
Membership Application Program: Reviewing and Approving Digital Asset Firms
2022 Ketchum Prize: Advancing Financial Inclusion and Alleviating Racial and Gender Bias in Agricultural Lending
CE Transformation Update: Annual Regulatory Element and the Latest on the MQP
Create your
podcast in
minutes
It is Free
City Manager Unfiltered
Potencial Americano
The ASIC Podcast
The Chris Plante Show
Strict Scrutiny