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
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
The Createathon: Breaking Down Silos and Sparking Innovation
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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