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FINRA releases 2024 regulatory oversight report

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Julie DiMauro

5 min read
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FINRA’s annual oversight report sets out the findings from compliance reviews and trends it has observed in examinations, plus highlights new risk areas.

On Tuesday, FINRA released its 2024 FINRA Annual Regulatory Oversight Report* to provide member firms with insights collected from the agency’s Member Supervision, Market Regulation and Enforcement programs.

The report is intended to provide transparency to member firms and the public about its regulatory activities and as an information source

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