Navigating the 2026 Regulatory Oversight Report: Key Insights from FINRA Leadership
FINRA UnscriptedShow Notes
On this episode, FINRA leaders discuss the 2026 Regulatory Oversight Report, covering emerging threats from AI and crypto, evolving fraud schemes, cybersecurity risks, effective practices, and more. Learn how firms can leverage the information in the report for strengthened compliance planning.
More from FINRA Unscripted
On this episode of FINRA Unscripted, learn how AI is giving fraudsters powerful new tools—from deepfakes and voice cloning to synthetic identities—and what FINRA is doing on the investigative, intelligence, and investor education fronts to stay ahead of these threats.
On this episode of FINRA Unscripted, learn why FINRA replaced the decades-old Pattern Day Trader rule—including the $25,000 minimum equity requirement—with a modern, risk-based intraday margin standard, and what the change means for investors and member firms.
On this episode of FINRA Unscripted, learn what has happened since the launch of FINRA's Financial Intelligence Fusion Center: how it works, early successes, and how information sharing between FINRA and member firms is transforming the fight against cyber and fraud threats.
On this episode of FINRA Unscripted, learn about the many ways members can engage with FINRA—from advisory committees to CEO roundtables—and how that interaction directly shapes rulemaking and drives internal improvements.
On this episode of FINRA Unscripted, FINRA Board Chair Scott Curtis and FINRA President and CEO Robert Cook discuss the organization's strategic priorities, FINRA Forward initiatives, and the future of the self-regulatory model. Learn how FINRA's leadership is working to adapt regulation for a changing industry while maintaining investor protection and market integrity.