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
How the Cloud and Machine Learning Have Transformed Market Surveillance
How the Cloud Has Revolutionized FINRA Technology
What is FINRA’s Dispute Resolution Forum?
ERI: Introducing FINRA’s Weatherman
One Enforcement: Introducing FINRA’s New Enforcement Team
The Senior Helpline: Addressing the Unique Needs of Senior Investors
One FINRA: A Commitment to Diversity and Inclusion
Combatting Cybersecurity Threats
A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs
Investing Smarter
FINRA360: Building a Stronger FINRA
Building A More Transparent Organization
What Does FINRA’s Chief Economist Do?
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