As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report.
On this episode, Ornella Bergeron, Senior Vice President of Risk Monitoring, Omer Meisel, Executive Vice President of the National Cause and Financial Crimes Detection Program, Claire O'Sullivan, Vice President and Regulatory Advisor of Stakeholder Engagement, and Michael Solomon, Senior Vice President of Examinations, join us to discuss highlights from the 2024 report.
Resources mentioned in this episode:
2024 FINRA Annual Regulatory Oversight Report
Reg Notice 23-20: Guidance and Resources Related to Regulation Best Interest
Reg Notice 23-11: Concept Proposal for a Liquidity Risk Management Rule
Reg Notice 21-35: Proposed Order Routing Disclosure Requirements
SEC FAQ on Form CRS
CAT NMS Plan Website
Episode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Episode 137: The Crucial Role of FINRA’s CAI Team
Episode 138: FINRA’s Blockchain Lab
Episode 129: A New Twist on New Account Fraud
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
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