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Compliance and Regulatory Alerts  |  01-10-24

FINRA Publishes 2024 Regulatory Oversight Report

FINRA has published its 2024 FINRA Annual Regulatory Oversight Report, formerly known as the Report on FINRA’s Examination and Risk Monitoring Program. The report provides member firms with key insights and observations from recent activities of FINRA’s regulatory operations to use in strengthening their compliance programs. According to FINRA's January 9th news release, "Some of the topics covered will be familiar from past reports, updated for 2024, while others are new and represent emerging risks and evolving trends that are of growing importance as we look ahead." This years report highlights new topics, like risk related to Crypto Assets, and returning topics including Cybersecurity, AML, and Reg BI.

Stay tuned for our annual chart and commentary on the reformatted 2024 Report and how its findings may impact your legal, regulatory and compliance matters.

Read the Report at