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Cybersecurity › Regulatory Oversight › Financial Industry Regulatory Authority (FINRA)

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +
Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now.   less -
Vedder Price

FINRA Publishes 2025 Regulatory Oversight Report

Vedder Price on

On January 28, 2025, FINRA published its annual regulatory oversight report for 2025 (Report), which highlights observations and findings from FINRA’s oversight programs. The Report covers 24 topics, and for each topic it...more

Carlton Fields

FINRA Issues 2025 Annual Regulatory Oversight Report

Carlton Fields on

On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more

McGuireWoods LLP

FINRA’s 2025 Annual Regulatory Oversight Report: Playing the Hits, With Some Important Additions

McGuireWoods LLP on

The Financial Industry Regulatory Authority’s (FINRA’s) 2025 Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such...more

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - February 2025

Eversheds Sutherland (US) LLP on

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

Shumaker, Loop & Kendrick, LLP

Client Alert: Navigating FINRA’s 2025 Third-Party Risk Updates: Compliance Strategies for Financial Institutions

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Every year, the Financial Industry Regulatory Authority (FINRA) issues an Annual Regulatory Report in an effort to provide FINRA Member Firms with insight into findings from FINRA’s regulatory operations programs. The Annual...more

Goodwin

FINRA Publishes 2025 Annual Regulatory Oversight Report

Goodwin on

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...more

Katten Muchin Rosenman LLP

FINRA Publishes 2025 Annual Regulatory Oversight Report - A Window Into Best Practices and FINRA's Focus in a New Regulatory...

Katten Muchin Rosenman LLP on

On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory Oversight Report.1 The report collects recent observations and findings from FINRA's oversight programs –...more

Carlton Fields

FINRA Issues 2024 Annual Regulatory Oversight Report

Carlton Fields on

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....more

Mayer Brown Free Writings + Perspectives

FINRA Publishes 2024 Annual Regulatory Oversight Report

Mayer Brown Free Writings + Perspectives on

New Topics and Content Highlight FINRA’s Increased Focus on Cybersecurity, Crypto Assets, Artificial Intelligence, Market Integrity, Off-Channel Communications and Other Key Risk Areas - On January 9, 2024, the Financial...more

Davis Wright Tremaine LLP

FINRA’s 2024 Annual Regulatory Oversight Report: Select Observations

Davis Wright Tremaine LLP on

FINRA recently published its 90-page 2024 Annual Regulatory Oversight Report (Report) providing member firms with insight into six primary topics: Financial Crimes, Crypto Asset Development, Firm Operations, Communications...more

Mayer Brown Free Writings + Perspectives

FINRA Releases 2023 Report on Its Examination and Risk Monitoring Program

Mayer Brown Free Writings + Perspectives on

On January 10, 2023, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (the “Report), available at:  2023 Report on FINRA’s Examination and...more

Herbert Smith Freehills Kramer

OCIE Releases 2019 Examination Priorities

Herbert Smith Freehills Kramer on

The SEC’s Office of Compliance Inspections and Examinations (OCIE) released its examination priorities for 2019 in order to promote the transparency of its investigation program....more

Holland & Knight LLP

U.S. Securities and Exchange Commission Updates Cybersecurity Disclosure Guidance - Agency Continues to Prioritize Cybersecurity...

Holland & Knight LLP on

• The U.S. Securities and Exchange Commission (SEC) released, on Feb. 21, 2018, updated guidance regarding public company cybersecurity disclosures. The guidance updates the Commission's 2011 non-binding guidance and...more

Burr & Forman

FINRA 2018 Priorities Letter Released

Burr & Forman on

FINRA recently published its 2018 Annual Regulatory and Examination Priorities Letter, which identifies opportunities for firms to improve their compliance, supervisory and risk management policies or programs. ...more

Proskauer Rose LLP

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

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This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

Carlton Fields

What’s Your Game Plan? Offensive or Defensive: Playing to Your Strengths [Expect Focus – October 2016]

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- AXA Prevails at First Post-Jones v. Harris Excessive Fee Trial - Potential Secondary Effects of Regulatory Examinations: Evidentiary Issues and Preclusion in Parallel Litigation - On The Horizon: Global...more

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