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01/25/2024
FINRA Issues 2024 Annual Regulatory Oversight Report
JD Supra
FINRA issued its 2024 Annual Regulatory Oversight Report on January 9, 2024, providing a glimpse into FINRA’s current regulatory oversight of member firms and their registered personnel in 27 topic areas.
The 2024 report has a new name. But, similar to prior annual reports, FINRA intends the 2024 report to serve as a resource for firms to strengthen compliance programs.
The 2024 report also provides an update on FINRA’s ongoing sweep examinations in the areas of (i) special purpose acquisition companies, (ii) social media influencers, customer acquisition, and related information protection, and (iii) option account opening, supervision, and related areas.
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