Unpacking the 2025 FINRA Annual Regulatory Oversight Report

As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025 FINRA Regulatory Oversight Report provides just that: Critical insights to help firms strengthen their compliance and protect investors.

On this episode, hosted by Member Relations and Education Vice President Kayte Toczylowski, FINRA’s regulatory leaders— Executive Vice President and Head of Member Supervision Greg Ruppert, Executive Vice President and Head of Market Regulation and Transparency Services Stephanie Dumont, and Executive Vice President and Head of Enforcement Bill St. Louis—join us to dive into the report’s takeaways and insights for member firms.

Resources mentioned in this episode:

2025 Regulatory Oversight Report

SEC Regulation Best Interest (Reg BI)

5310. Best Execution and Interpositioning

Reg Notice 20-31: FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT

Investor Insights: Artificial Intelligence (AI) and Investment Fraud

Episode 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals

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