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ARTICLE · 11 FEBRUARY 2025

FINRA Publishes 2025 Annual Regulatory Oversight Report

Goodwin Procter LLP
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On January 28, 2025, FINRA published its 2025 Annual Regulatory Oversight Report (the "Report") as "an up-to-date, evolving resource or library of information for firms" that highlights specific industry trends...

United StatesTechnology
Nicholas J. Losurdo
Nicholas J. Losurdo
Peter LaVigne
Peter LaVigne
Christopher Grobbel
Christopher Grobbel

On January 28, 2025, FINRA published its 2025 Annual Regulatory Oversight Report (the "Report") as "an up-to-date, evolving resource or library of information for firms" that highlights specific industry trends, new developments and findings, and effective firm practices. The Report builds on the 2024 Report, draws on findings by FINRA's Member Supervision, Market Regulation, and Enforcement programs, and can serve as a roadmap firms can use to focus on new developments and bolster their compliance programs throughout the year.

Overview

FINRA included two new topic areas for 2025: (1) after hours trading and (2) the "third party landscape" – which focuses on firms' use of third party vendors and the increase in cyber outage events and attacks FINRA has observed at many of these vendors. FINRA also continues to focus on crypto assets under the category of "member firms' nexus to crypto." FINRA also highlighted certain topics in new "callout boxes," including for

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