The Financial Industry Regulatory Authority (FINRA) has issued its long anticipated 2024 priorities. In past years, FINRA branded the report as the Report on FINRA’s Examination and Risk Monitoring Program. This year, they have re-branded the report to FINRA’s Regulatory Oversight Report.
As in past years, for each topic addressed in the report, FINRA has identified related considerations, common findings or observations, and effective practices. The 2024 report addresses issues related to:
- Financial Crimes
- Firm Operations
- Communications and Sales
- Market Integrity
- Financial management
In addition to covering topics that were addressed in previous years such as Reg BI, cybersecurity, outside business activities, CAT and best execution, FINRA also addressed new topics:
- Crypto asset development
- OTC quotations in fixed income securities
- Advertised volumes
- Market access rule
Oyster Consulting’s experts will provide insights and share their expertise in these areas in future blogs and podcasts. In the meantime, below are some free resources you may find helpful:
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