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.
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.
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<p><span>Thank you, Chair Gensler, and thank you to the staff for their presentation. The Commission adopted Regulation SCI in 2014 to address perceived technological vulnerabilities, improve Commission oversight, and mitigate the risk of technical “single points of failure” in the securities market.</span><a name=" ftnref1" href="https://www.sec.gov/news/statement/uyeda-statement-regulation-sci-031523?utm medium=email&utm source=govdelivery# ftn1">[1]</a><span> Given its substantial burdens, Regulation SCI was narrowly applied to key participants, including the stock and options exchanges, registered and certain exempt clearing agencies, FINRA and the MSRB, alternative trading systems that trade stocks exceeding specified volume thresholds, and market data processors. Today, the Commission considers an expansion of Regulation SCI’s scope to include registered security-based swap data
Payment for order flow (PFOF) and best execution; market access; finfluencers and gamification; and anti-money laundering were some of the most critical emerging and familiar compliance.