2025 is here, and so is FINRA’s 2025 Annual Regulatory Oversight Report (Report). On January 28, 2025, FINRA published the Report, which provides firms with insight into FINRA’s findings from recent observations and examinations. The Report provides new content addressing trends and potential challenges for broker-dealers. The updated content ranges from technology to data security
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And Now for the SEC’s First Substantive Reg BI Action
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