2024 FINRA Regulatory Oversight Report
FINRA’s 2024 Examination and Risk Monitoring Program
On January 9, 2024, FINRA published its 2024 FINRA Annual Regulatory Oversight Report (f.k.a. FINRA’s Examination and Risk Monitoring Program. FINRA intends this report provides member firms with its insights and observations regarding to help strengthen compliance programs of FINRA members firms.
New Topics for 2024 :
Crypto Asset Developments
OTC Quotations in Fixed Income Securities
Advertised Volume
Market Access Rule
Topics Include:
Financial Crimes
Cybersecurity and Technology Management
Anti-Money Laundering, Fraud and Sanctions
Manipulative Trading
Crypto Asset Developments
Firm Operations
Outside Business Activities and Private Securities Transactions
Books and Records
Regulatory Events Reporting
Trusted Contact Persons
Crowdfunding Offerings: Broker-Dealer and Funding Portals
Communications and Sales
Communications with the Public
Reg BI and Form CRS
Private Placements
Variable Annuities
Market Integrity
Consolidated Audit Trail (CAT)
Best Execution
Disclosure of Routing Information
Regulation SHO – Bona Fide Market Making Exemptions
Fixed Income – Fair Pricing
OTC Quotations in Fixed Income Securities
Advertised Volume
Market Access Rule
Financial Management
Net Capital
Liquidity Risk Management
Credit Risk Management
Portfolio Margin and Intraday Trading
Segregation of Assets and Customer Protection
Appendix – Using FINRA Reports in Your Firm’s Compliance Program
You may review the report here:
https://www.finra.org/rules-guidance/guidance/reports/2024-finra-annual-regulatory-oversight-report
