Page 2 - Greg Ruppert News Today

In the first full year with the rules, the regulator found multiple areas where firms are missing the mark.

<p><span>FINRA today published its </span><a href="https://www.finra.org/rules-guidance/guidance/reports/2022-finras-examination-and-risk-monitoring-program">2022 Report on FINRA’s Examination and Risk Monitoring Program</a><span> to provide insights from FINRA’s oversight programs to FINRA member firms. The 70-page </span><span>Report</span><span> covers 21 different top...

The Finra annual report on its regulatory priorities finds brokerages are failing to act in the best interests of their customers.

The 70-page report homed in on some muni-specific risks uncovered during examinations.

This episode originally aired in April 2021.The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. On this episode, we hear from the then-head of FINRA's National Cause and Financial Crimes Detection Programs about recent trends and how firms can work to protect themselves and their customers.

WASHINGTON—FINRA announced today that it has appointed Bill St. Louis to Executive Vice President and Head of its National Cause and Financial Crimes Detection Program (NCFC). St. Louis, currently Senior Vice President and Firm Group Leader in FINRA’s Member Supervision department, will begin his new role on December 13 and report to Greg Ruppert, Executive Vice President and Head of Member Supervision. St. Louis will succeed Ruppert, who previously led the NCFC.