2026 FINRA Annual Regulatory Oversight Report

On December 9, 2025, the Financial Industry Regulatory Authority, Inc., ("FINRA"), published the 2026 FINRA Annual Regulatory Oversight Report, available HERE

The 90-page Report reflects FINRA's commitment to providing transparency to broker-dealer firms and the public about its regulatory observations and activities. FINRA intended the Report to be an up-to-date, evolving resource and library of information. We believe they have succeeded. The Report provides significant insight into important findings from FINRA's regulatory operations programs.

Topics include:
• Annuities Securities Products,
• Anti-Money Laundering, Fraud and Sanctions,
• Artificial Intelligence,
• Books and Records requirements,
• Communications with the Public,
• Crypto assets,
• Cybersecurity and Cyber-Enabled Fraud
• Outside Business Activities and Private Securities Transactions,
• Private Placements,
• Regulation Best Interest (Reg BI),
• Senior Investors and Trusted Contact Persons, and
• Third-Party Risk Landscape, among others.

The 90-page Report reflects FINRA's commitment to providing transparency to broker-dealer firms and the public about its regulatory observations and activities.

We found the Report to be well-conceived and well-constructed. The Appendix – Using FINRA Reports in Your Firm's Compliance Program, was especially appreciated. Kudos.