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
Advertising Regulation: Expect More Than Just Hype
Encore | Insider Trading: Finding the Needle in the Haystack
What Fees?: A Look at American Investor Knowledge
What to Expect: The 2020 Exam and Risk Monitoring Program
A Career Highlight: Exam and Risk Monitoring Program Transformation Update
Encore | How FINRA Rules Get Made (And Reviewed)
The Buildathon: Creating New Technology in Service of Investors
2019 Ketchum Prize: The Evolving World of Retirement Security
Regulation Best Interest: Preparing for a New Standard of Conduct
Market Regulation Enforcement: Ensuring Market Integrity
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FINRA’s Ambassador Abroad: The International Group
Collaboration, Expertise, Innovation and Responsibility: Introducing FINRA’s Values
Credit For Cooperation: Recognizing Extraordinary Efforts
Financial Capability Study, Part II: Tracking Shifting Currents of Financial Well-Being
Financial Capability Study, Part I: Does a Rising Tide Lift All Boats?
Encore | How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance
DXT: Transforming the Digital Experience of Firms
Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik
Beyond Hollywood, Part II: AML Priorities and Best Practices
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