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ARTICLE · 02 FEBRUARY 2024

FINRA Publishes 2024 Annual Regulatory Oversight Report

Goodwin Procter LLP
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On January 9, 2024, FINRA published its 2024 Annual Regulatory Oversight Report (the "Report"). FINRA publishes the Report as a way to provide...

United StatesFinance and Banking
Nicholas J. Losurdo
Nicholas J. Losurdo
Christopher Grobbel
Christopher Grobbel
Peter LaVigne
Peter LaVigne

On January 9, 2024, FINRA published its 2024 Annual Regulatory Oversight Report (the "Report"). FINRA publishes the Report as a way to provide its broker-dealer members with insight into findings from FINRA's Member Supervision, Market Regulation, and Enforcement programs. FINRA also intends for the Report to serve as a roadmap firms can use to bolster their compliance programs throughout the year.

Overview

FINRA's Report has evolved over recent years into a snapshot of key risks and findings across the full landscape of FINRA's oversight. FINRA noted that the new title and focus (the previous title and focus was the Report on FINRA's Examination and Risk Monitoring Program) "represents FINRA's ongoing efforts to increase both the integration among our regulatory operations programs and the utility of the Report for member firms as an information source they can use to strengthen their compliance programs."1 As in prior years, the Report is organized according

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