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
AI Virtual Conference: Industry Views on the State of Artificial Intelligence
Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation
Overlapping Risks, Part I: Anti-Money Laundering and Cybersecurity
2020 Ketchum Prize: The Financial Security of Americans with Disabilities
Excessive Trading: When A Lot Becomes Too Much
Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology
FINRA’s R&D Program: Exploring the Future of Advanced Analytics
The Ombudsman: FINRA’s Confidential, Independent Resource
Encore | Beyond Hollywood: Money Laundering in the Securities Industry
Virtual Conference Panels: Fireside Chat on Current Issues
Regulation Best Interest: Implementing a New Standard of Conduct
Protecting the Most Vulnerable: How FINRA Enforcement Prioritizes Senior Investors
COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis
Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs
FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad
Market Structure & COVID-19: Handling Increased Volatility and Volumes
Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection
Business in the Time of COVID-19: BCPs, Regulatory Relief & More
The MAP Group: Gatekeeper to the Broker-Dealer Industry
FINRA & CE Council: Enhancing Industry Continuing Education
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