Navigating the 2026 Regulatory Oversight Report: Key Insights from FINRA Leadership

The Annual Regulatory Oversight Report is one of FINRA’s most valued resources for member firms—and this year, we're publishing it earlier than ever in response to member feedback. The 2026 Report features insights on cyber-enabled fraud, senior investor protection, generative AI, and much more. It also reflects our FINRA Forward commitment to empowering member firm compliance by sharing intelligence from across our Regulatory Operations. This episode features four FINRA leaders: Ornella Bergeron, Senior Vice President, Risk Monitoring, and Acting Head of Member Supervision; Bill St. Louis, Executive Vice President and Head of Enforcement; Feral Talib, Executive Vice President and Head of Market Oversight; and Bryan Smith, Senior Vice President and Acting Head of Strategic Intelligence. They discuss takeaways from the report, and how firms can leverage its effective practices and research to strengthen their compliance programs. Resources mentioned in this episode: 2026 Regulatory Oversight Report FINRA Forward FINRA Crypto and Blockchain Education Program Blog Post: FINRA Forward’s Rule Modernization—An Update Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve SEC Regulation Best Interest (Reg BI) 5310. Best Execution and Interpositioning Ep. 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals Ep. 173: Vendor Vigilance: Navigating Third-Party Risk Ep. 177: Previewing FINRA’s Crypto and Blockchain Education Program Ep. 180: Building Cybersecurity Resilience Through FINRA Forward Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail

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Navigating the 2026 Regulatory Oversight Report: Key Insights from FINRA Leadership is an episode from FINRA Unscripted by FINRA.

This episode is 00:42:41 long.

This episode was published on Dec 9, 2025.

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