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Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ppacc.player.fm/legal.
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Unpacking the 2025 FINRA Annual Regulatory Oversight Report
Manage episode 463573424 series 2309258
Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ppacc.player.fm/legal.
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025 FINRA Regulatory Oversight Report provides just that: Critical insights to help firms strengthen their compliance and protect investors.
On this episode, hosted by Member Relations and Education Vice President Kayte Toczylowski, FINRA’s regulatory leaders— Executive Vice President and Head of Member Supervision Greg Ruppert, Executive Vice President and Head of Market Regulation and Transparency Services Stephanie Dumont, and Executive Vice President and Head of Enforcement Bill St. Louis—join us to dive into the report’s takeaways and insights for member firms.
Resources mentioned in this episode:
2025 Regulatory Oversight Report
SEC Regulation Best Interest (Reg BI)
5310. Best Execution and Interpositioning
Reg Notice 20-31: FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT
Investor Insights: Artificial Intelligence (AI) and Investment Fraud
Episode 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
59 episodes
Share
Manage episode 463573424 series 2309258
Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ppacc.player.fm/legal.
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025 FINRA Regulatory Oversight Report provides just that: Critical insights to help firms strengthen their compliance and protect investors.
On this episode, hosted by Member Relations and Education Vice President Kayte Toczylowski, FINRA’s regulatory leaders— Executive Vice President and Head of Member Supervision Greg Ruppert, Executive Vice President and Head of Market Regulation and Transparency Services Stephanie Dumont, and Executive Vice President and Head of Enforcement Bill St. Louis—join us to dive into the report’s takeaways and insights for member firms.
Resources mentioned in this episode:
2025 Regulatory Oversight Report
SEC Regulation Best Interest (Reg BI)
5310. Best Execution and Interpositioning
Reg Notice 20-31: FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT
Investor Insights: Artificial Intelligence (AI) and Investment Fraud
Episode 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
59 episodes
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