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On January 18, 2023, Reed Smith sponsored the first SIFMA monthly luncheon of 2023 at the Harvard Club in New York City. The luncheon was very well attended, attracting over 100 attendees.
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The discussion topic for the luncheon was FINRA’s 2023 Priorities and Examination Findings, which was presented by a panel consisting of Robert Cook (President and CEO of FINRA) and Greg Ruppert (EVP of Member Supervision at FINRA). The panel was moderated by Saima Ahmed, SIFMA's EVP and General Counsel.

Below is a short summary of the panel discussion.

The five (5) main topics discussed were as follows:

1) FINRA’s New Year’s Resolutions

The panelists addressed FINRA’s enterprise goals for 2023, including:

  • Continuing to integrate the activities of its “regulatory operations programs” which consist of FINRA’s Member Supervision, Market Regulation, and Enforcement programs;
  • Leveraging data and intelligence between FINRA’s various parts;
  • Enhancing its talent; and
  • Increasing engagement with its membership and stakeholders, including getting feedback.