All posts by Lameerinc

RegulatorsTrade Surveillance

2024 FINRA Annual Regulatory Oversight Report – Manipulative Trading

Announced on Jan 10th 2024. The 2024 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into findings from FINRA’s Member Supervision,Market Regulation and Enforcement programs (collectively, “regulatory operations programs”). The Report reflects FINRA’s commitment to providing greater transparency to member firms and the public about our regulatory activities. (All information here […]...
IT Risk ManagementRegulatorsVendor Risk Management

2024 FINRA Annual Regulatory Oversight Report – Cybersecurity

Announced on Jan 10th 2024. The 2024 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into findings from FINRA’s Member Supervision,Market Regulation and Enforcement programs (collectively, “regulatory operations programs”). The Report reflects FINRA’s commitment to providing greater transparency to member firms and the public about our regulatory activities. (All information here […]...
Anti Money LaunderingRegulators

2024 FINRA Annual Regulatory Oversight Report – Anti Money Laundering, Fraud and Sanctions

Announced on Jan 10th 2024. The 2024 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs (collectively, “regulatory operations programs”). The Report reflects FINRA’s commitment to providing greater transparency to member firms and the public about our regulatory activities. (All information […]...