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"FINRA's 2026 Priorities: AI, Fraud, and the Future of Supervision"

FINRA's 2026 Oversight Report highlights new risks from AI, fragmented communications, and sophisticated fraud. This report breaks down the key priorities and provides a strategic blueprint for modernizing your compliance and supervision programs.

FINRA's 2026 Annual Regulatory Oversight Report signals a major shift in compliance expectations. The rapid adoption of AI, fragmented communication channels, and sophisticated financial crime are exposing gaps in traditional supervisory approaches. Firms can no longer treat the report as a simple checklist; they must view it as a blueprint for modernization to avoid significant penalties. 

This report breaks down FINRA's latest priorities through a strategic lens, highlighting emerging risks and providing actionable guidance.

Download this report and learn how to:

• Establish enterprise-grade AI governance to manage "shadow AI" and agentic AI risks
• Strengthen recordkeeping and scale supervision for off-channel communications
• Apply consistent compliance standards to all public communications, including social media
• Break down internal silos to combat evolving AI-enabled fraud threats

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