MyComplianceOffice Blog

The 2024 FINRA Annual Regulatory Oversight Report provides firms with insight into findings from FINRA’s regulatory operations programs including Member Supervision, Market Regulation and Enforcement. Addressing a broad range of topics spanning conflicts of interest, disclosures, communication practices and crypto asset compliance, the report contains information that firms can use to strengthen their compliance programs in 2024 and beyond.

2023 was another active year for U.S. Securities and Exchange Commission (SEC) enforcement, encompassing a wide range of violations against individuals and firms of all sizes.  

Understanding 2023 enforcement actions along with the agency’s 2024 enforcement priorities will help firms better assess and anticipate regulatory expectations—and set the stage for better compliance.