Resources mentioned in this episode:

Blog Post: Fee Rebate for FINRA Member Firms

Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve

Request for Comment: Outside Activities Rule—2025-05

Rule Proposal: Gifts Rule—2025-003

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FINRA Forward—New Initiatives to Support Members, Markets, and the Investors They Serve

FINRA360

Request for Comment on Capital Formation Rules, Guidance and Processes

Request for Comment on Modern Workplace Rules, Guidance and Processes
Request for Comment on Associated Persons’ Outside Activities

Statement to Correct Misinformation About Outside Activities Proposal

Broad Review to Modernize Rules Regarding Member Firms and Associated Persons

Proposed Rule Change to Modify the Implementation Schedule Regarding Corporate Financing Fees

Proposed Rule Change on Transaction Reporting

Engage With FINRA

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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 Report

CEO Blog: New FINRA Initiatives to Support Members, Markets, and the Investors They Serve

FINRA Cybersecurity Guidance

Ep. 170: Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team

Ep. 169: Unpacking FINRA’s 2025 Regulatory Oversight Report

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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

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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 Report

Investor Alert: Social Media ‘Investment Group’ Imposter Scams on the Rise Romance Scams

FINRA Securities Helpline for Seniors

BrokerCheck

Market Data Center

Fund Analyzer

Fixed Income Data

FINRA Investor Education Foundation

Protecting Consumers from Fraud

Ep 162: The Victim Experience: When Romance Leads to Crypto Scam

Ep. 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals

Ep. 169: Unpacking the 2025 Regulatory Oversight Report

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As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, the leaders of FINRA's new Strategic Intelligence and Analytics (StratIntel) team discuss how they are working to identify and analyze these industry developments.

On this episode, we sit down with the leaders of the StratIntel team: Senior Vice President of Data and Analytics for Member Supervision Jim Reese, and his two Vice Presidents, Brita Bayatmakou and Clint Johnson. The three share insights on how this new team is evolving FINRA's approach to intelligence gathering and risk monitoring, and the innovative ways they are using data and analytics to support FINRA's mission of investor protection and market integrity.

Resources mentioned in this episode:

2025 Regulatory Oversight Report

3110. Supervision

Episode 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals

Episode 169: Unpacking FINRA’s 2025 Regulatory Oversight Report

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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

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Many of us view January as a time to make a fresh start, and as a time to bid farewell to bad habits. In thinking about your New Year's resolutions, have you considered whether you're making financially healthy decisions?

On this episode, we sit down with Gerri Walsh, President of the FINRA Investor Education Foundation and Senior Vice President of Investor Education, to uncover the trends and tips investors need to get their finances in order for 2025.

Resources mentioned in this episode:

BrokerCheck

Market Data Center

Fund Analyzer

Fixed Income Data

FINRA Investor Education Foundation

Protecting Consumers from Fraud

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