Compliance and Regulatory Alerts | 01-29-25
FINRA Has Published Its 2025 Regulatory Oversight Report
FINRA has published its 2025 FINRA Regulatory Oversight Report, providing key insights and observations from its Member Supervision, Market Regulation, and Enforcement programs. The report serves as a crucial resource for member firms, offering guidance to enhance compliance efforts throughout the year.
The 2025 report covers 24 topics, with new areas of focus that reflect emerging risks and industry trends. Notable additions include third-party risk management due to increased cyberattacks on vendors, sales practice considerations under Reg BI for complex products, and extended hours trading services. The report also highlights the evolving use of artificial intelligence (AI) in financial services, rising investment fraud tactics by bad actors, updates to FINRA rules on remote supervision, and trade reporting enhancements for fractional share transactions.
Stay tuned for our annual analysis and commentary on the implications of the 2025 Report for legal, regulatory, and compliance matters.