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
FINRA Enforcement: Bringing Cases Against Individual Brokers
Regulatory Operations: Stronger Regulation Through Integrated Oversight
Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit
Financial Capability Study: Financial Wellbeing During a Global Pandemic
Encore | The Cornerstone of FINRA’s Market Surveillance Program: A Historical Commitment to Market Transparency
Regulation Best Interest and Form CRS: Two Years In
Building a Better Future: FINRA’s Diversity, Equity & Inclusion Program
AML Update: The Latest Trends and Effective Practices
FINRA Annual Conference: Fireside Chat with Eileen Murray
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
MAP Transformation: Streamlining FINRA's Gatekeeper Function
Encore | FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families
Fraud Stoppers: FINRA’s Market Investigations Team
Report on FINRA’s Examination and Risk Monitoring Program | A Comprehensive Reference Item for Firms
Celebrating 100: FINRA Unscripted's Greatest Hits
From NCFC to Member Supervision Head: Reintroducing Greg Ruppert
Deep Learning: The Future of the Market Manipulation Surveillance Program
What to Expect: CE Transformation & Maintaining Qualifications Program
Encore | At, By or Through: Fraud in the Broker-Dealer Industry
The Cornerstone of FINRA’s Market Surveillance Program: A Historical Commitment to Market Transparency
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