Securities
Aug. 25, 2025
FINRA Forward initiative targets modernization, compliance and cybersecurity
FINRA Forward is a comprehensive reform initiative aimed at modernizing FINRA rules, strengthening collaboration with member firms, leveraging technology and AI, and enhancing enforcement and cybersecurity efforts to protect investors and ensure market integrity.
Esther E. Cho
Partner and Co-Chair of the Financial Services Litigation and Enforcement Practice
Stradley Ronon Stevens & Young, LLP
Email: echo@stradley.com
Loyola Law School; Los Angeles CA
Connor Trafton
Associate
Stradley Ronon Stevens & Young, LLP.
Email: ctrafton@stradley.com
Connor Trafton is an associate at Stradley Ronon focusing on financial services litigation, representing financial services firms, registered representatives and registered investment advisers in court and in FINRA and AAA arbitration proceedings.
The Financial Industry Regulatory Authority (FINRA) announced earlier this year the launch of a sweeping reform agenda spearheaded by its "FINRA Forward" series of initiatives, which aim to modernize FINRA rules, encourage and empower member firm compliance, and combat cybersecurity and fraud risks. FINRA, the self-regulatory organization responsible for overseeing...
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