Bates Research | 03-22-24
FINRA’s 2024 Regulatory Oversight Report: Bates Annual Comparison Chart
The Financial Industry Regulatory Authority's (FINRA) 2024 Annual Regulatory Oversight Report revealed key insights from its Member Supervision, Market Regulation, and Enforcement programs to guide its member firms in strengthening their compliance programs.
The 2024 report explicitly explored emerging risks and trends like crypto asset activities and inflated trade volume, alongside familiar topics like cybersecurity and Reg BI implementation.
"As the industry evolves, so do the compliance challenges faced by firms," observed Greg Ruppert, FINRA's Executive Vice President for Member Supervision. "This report serves as a critical resource, offering updates on established areas and guidance on emerging risks to help firms navigate the ever-changing landscape."
FINRA’s Annual Report provides important guidance for compliance officers. Our annual comparison chart below offers insight into how FINRA's priorities have changed from year to year.
Top Areas of FINRA Focus for 2024
See highlights of FINRA’s continuing and emerging concerns in our annual comparison chart below. (Items highlighted in gold are new for 2024).
© 2024, Bates Group LLC
Source: 2024 FINRA Annual Regulatory Oversight Report
(Compiled by Alex Russell, Managing Director, White Collar, Regulatory and Internal Investigations)
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