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
2021 Small Firm Conference: A Fireside Chat with Robert Cook and Greg Ruppert
FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families
Encore | Overlapping Risks: Anti-Money Laundering and Cybersecurity
2021 Ketchum Prize: Expanding Financial Capability in Native Communities
Make Your Voice Heard: FINRA's Regional Committees
The Journey to the Cloud: Implications for the Securities Industry
Introducing Stephanie Dumont
FINRA’s Financial Intelligence Unit: Connecting the Dots
Building Board Diversity: FINRA’s Ongoing Commitment
2021 Annual Conference: Robert Cook and Eileen Murray Fireside Chat
Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead
Advanced Analytics: Transforming Advertising Regulation
At, By or Through: Fraud in the Broker-Dealer Industry
Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead
Year in Review: The 2020 Exam and Risk Monitoring Program
Cybersecurity: Current and Emerging Industry Priorities and Threats
Behind the Process: How an Enforcement Action Becomes an Enforcement Action
Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology
Revolutionizing the Digital Experience: Form U4 and FINRA Gateway
Member Relations & Education: Reimagining the Future of Engagement
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