Risk

Third-party risk was the single most clicked on topic in the 2025 FINTA Annual Regulatory Oversight Report

FINRA is looking for the sharing of up-to-date information related to firms critical third-party vendors

The release covers an assessment of risks, details on the scoping of municipal advisor exams, and the requesting of exam documents

Alerts addressed municipal advisors, investment companies, broker-dealers, marketing rule compliance, shortening the settlement cycle and security-based swap dealers

FINRA's Financial Intelligence Unit delivers threat intelligence products to communicate threat guidance to the industry

Reps identified as "high risk" represent about a fraction of one percent of the entire population

Risk alert identifies shortcomings in advisers' P&Ps which "resulted in gaps for preventing violations of the marketing rule, books and records rule, or both"

FINRA cautions that the use of AI tools could implicate virtually every aspect of a firm's regulatory obligations

Liquidity stress testing, contingent funding plans, and the maintenance of sufficient liquidity are among proposed requirements

FINRA group assesses impact of federal debt ceiling, regional banking crisis, rising interest rates, FTX collapse and digital assets