Resources mentioned in this episode:Blog Post: Fee Rebate for FINRA Member FirmsBlog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They ServeRequest for Comment: Outside Activities Rule—2025-05Rule Proposal: Gifts Rule—2025-003 Subscribe to our show on Apple Podcasts, Google Play and by RSS.
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28:11
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28:11
Robert Cook on FINRA Forward, and More
FINRA Forward—New Initiatives to Support Members, Markets, and the Investors They ServeFINRA360Request for Comment on Capital Formation Rules, Guidance and ProcessesRequest for Comment on Modern Workplace Rules, Guidance and ProcessesRequest for Comment on Associated Persons’ Outside ActivitiesStatement to Correct Misinformation About Outside Activities ProposalBroad Review to Modernize Rules Regarding Member Firms and Associated PersonsProposed Rule Change to Modify the Implementation Schedule Regarding Corporate Financing FeesProposed Rule Change on Transaction ReportingEngage With FINRA
Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.
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23:08
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23:08
Vendor Vigilance: Navigating Third-Party Risk
Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interested in it? What can FINRA member firms do to mitigate that risk? And how can FINRA help?On this episode of FINRA Unscripted, FINRA’s Executive Vice President of Member Supervision Greg Ruppert shares valuable insights on why firms are facing heightened challenges with third-party vendors, the emerging risks posed by fourth-party relationships, and how FINRA's intelligence sharing is helping member firms protect themselves from vendor-related cybersecurity threats.Resources mentioned in this episode:2025 Annual Regulatory Oversight ReportCEO Blog: New FINRA Initiatives to Support Members, Markets, and the Investors They ServeFINRA Cybersecurity GuidanceEp. 170: Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel TeamEp. 169: Unpacking FINRA’s 2025 Regulatory Oversight Report
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18:20
Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary
This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabeth Yoka, the manager of VAST Intake, and Michael Paskin, the manager of the VAST Investigations, to discuss the Helpline and its 10 years of protecting investors. We will be focusing on the Helpline results and will provide a few examples of how the Helpline has become an effective conduit for investor protection, and how it has been helpful to member firms. Resources mentioned in this episode: FINRA Securities Helpline for Seniors Ep. 152: Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team FINRA Rule 2165 FINRA Rule 4512 FINRA Rule 3241 2025 Annual Regulatory Oversight Report
Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.
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27:29
Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape
As we observe National Consumer Protection Week amid a growing and changing financial fraud landscape, the time is ripe to talk about the ways in which investors can protect themselves from financial scams. On this episode, we sit down with Rob Mascio, Director of the FINRA Investor Education Foundation, to talk about the latest fraud trends, common red flags to watch out for and practical steps investors can take to safeguard investments. Resources mentioned in this episode:2025 Annual Regulatory Oversight ReportInvestor Alert: Social Media ‘Investment Group’ Imposter Scams on the Rise Romance ScamsFINRA Securities Helpline for SeniorsBrokerCheckMarket Data CenterFund AnalyzerFixed Income DataFINRA Investor Education FoundationProtecting Consumers from FraudEp 162: The Victim Experience: When Romance Leads to Crypto ScamEp. 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial GoalsEp. 169: Unpacking the 2025 Regulatory Oversight Report
Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.
FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.
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