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
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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