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
Beyond Hollywood: Money Laundering in the Securities Industry
2019 Budget Summary: A Look Behind the Curtain
FINRA’s Point Guard: The Central Review Group
Member Relations & Education: Making Regulation Smarter
CRD Transformation: Enhancing the Registration & Disclosure Process
A Look at the FINRA Institute at Georgetown CRCP Program
The Future of RegTech: The Challenges and Opportunities
The Annual Priorities Letter: A Fresh Take
Behind the Scenes: FINRA's Board of Governors
Bits & Bytes: A Look at Effective Cybersecurity Practices
Insider Trading: Finding the Needle in the Haystack
Millennials and Money: How to Get Started on the Road to Investing
Member Supervision: Introducing Bari Havlik and the Exam Program Transformation
Cybersecurity Awareness Month: Stay Connected and Protected
Debunked: 7 Myths about Millennials—the Underinvested Generation
The New SIE Exam: Opening Doors to the Securities Industry
Sharing Data and Strengthening Compliance
How FINRA Rules Get Made (And Reviewed)
Fintech, Regtech & Suptech: Keeping Up with Industry Innovations
Enforcement Guiding Principles
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