FINRA 2025 Report Highlighting Key Compliance Risks

​The FINRA (Financial Industry Regulatory Authority) 2025 Regulatory Oversight Report compiles observations from its Member Supervision, Market Regulation, and Enforcement programs. The report gives member firms information to strengthen their compliance programs. FINRA aims to make its regulatory activities and findings accessible to investors and member firms.

The report highlights areas where firms have fallen short in compliance and flags growing or emerging risks. Greg Ruppert, executive vice president and head of Member Supervision at FINRA, states that the report features new topics - including one on third-party risks - alongside familiar topics on cybersecurity, cyber fraud, and communications with the public. These sections reflect current risks and market trends.

Stephanie Dumont, executive vice president and head of Market Regulation and Transparency Services at FINRA, notes that the report also includes FINRA's observations on manipulative trading, customer order handling, and extended hours trading. In total, the report covers 24 topics. Each section links to relevant rules, summarizes key findings, and outlines effective practices noted during oversight. The report also offers additional resources to help members review and improve their supervisory systems and meet compliance requirements.

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