What’s New with FINRA’s Recent 2025 Regulatory Oversight Report
Broker Dealer Law blog
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 to popular complex financial products, as well as how firms offer services. Here are four highlighted issues firms may want to consider for 2025:
- Cybersecurity risks associated with third-party vendors, including those related to artificial intelligence (AI).
- How Regulation BI interacts with registered index-linked annuities (RILAs).
- Common new investment frauds and how to combat them.
- Extended trading hours.
The material contained in this communication is informational, general in nature and does not constitute legal advice. The material contained in this communication should not be relied upon or used without consulting a lawyer to consider your specific circumstances. This communication was published on the date specified and may not include any changes in the topics, laws, rules or regulations covered. Receipt of this communication does not establish an attorney-client relationship. In some jurisdictions, this communication may be considered attorney advertising.
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