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Вміст надано FINRA. Весь вміст подкастів, включаючи епізоди, графіку та описи подкастів, завантажується та надається безпосередньо компанією FINRA або його партнером по платформі подкастів. Якщо ви вважаєте, що хтось використовує ваш захищений авторським правом твір без вашого дозволу, ви можете виконати процедуру, описану тут https://uk.player.fm/legal.
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<div class="span index">1</div> <span><a class="" data-remote="true" data-type="html" href="/series/series-3594218">The Innovators & Investors Podcast</a></span>


The Innovators & Investors Podcast: Connecting the Startup Ecosystem. We are on a mission to bridge the gap between founders, investors, and industry leaders across the early-stage ecosystem. By bringing together visionaries from cutting-edge startups, venture capitalists, family offices, angel investors, accelerators, and studios, we offer a platform for sharing invaluable insights, market trends, and first-hand experiences. Whether you’re an entrepreneur navigating the challenges of building a business or an investor seeking opportunities in emerging technologies, our podcast provides a front-row seat to the dynamic world of innovation and investment. Tune in to gain a comprehensive understanding of the startup landscape, stay ahead of the curve, and benefit from the collective wisdom of those shaping the future. Think you'd be a great guest on the show? Apply at https://finstratmgmt.com/innovators-investors-podcast/
FINRA Unscripted
Відзначити всі (не)відтворені ...
Manage series 2309258
Вміст надано FINRA. Весь вміст подкастів, включаючи епізоди, графіку та описи подкастів, завантажується та надається безпосередньо компанією FINRA або його партнером по платформі подкастів. Якщо ви вважаєте, що хтось використовує ваш захищений авторським правом твір без вашого дозволу, ви можете виконати процедуру, описану тут https://uk.player.fm/legal.
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.
…
continue reading
61 епізодів
Відзначити всі (не)відтворені ...
Manage series 2309258
Вміст надано FINRA. Весь вміст подкастів, включаючи епізоди, графіку та описи подкастів, завантажується та надається безпосередньо компанією FINRA або його партнером по платформі подкастів. Якщо ви вважаєте, що хтось використовує ваш захищений авторським правом твір без вашого дозволу, ви можете виконати процедуру, описану тут https://uk.player.fm/legal.
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.
…
continue reading
61 епізодів
Усі епізоди
×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 Subscribe to our show on Apple Podcasts , Google Play and by RSS . Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
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 Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
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 Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
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FINRA Unscripted

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-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
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 Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
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 Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
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 Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
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FINRA Unscripted

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 Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, we sit down with two members of the Market Regulation and Transparency Services team, Senior Vice President of Strategic Regulatory Engagement Alex Ellenberg, and Senior Director of Transparency Services Equities Brendan Loonam. They join us to discuss periodic aggregate market data sets, including some new data recently added to FINRA's website, and how FINRA makes this information available to the public in support of its mission of investor protection and market integrity. Resources mentioned in this episode: FINRA Data OTC Transparency Data NMS Equity and Option Order Routing Reports (SEC Rule 606(a) Reports) About NMS Equity and Options Routing Reports (SEC 606(a) Reports) OTC (ATS & Non-ATS) Transparency Reg Notice 23-10: FINRA Requests Comment on a Proposal to Require Members to Provide Rule 605 Order Execution Quality Reports to FINRA for Centralized Publication Episode 149: MRTS 2.0: A Redesign for a Rapidly Evolving Market Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
This episode originally aired in August 2023. In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team On this episode, the first in a three-part series, we sit down with Omer Meisel, Senior Vice President of the Complex Investigations and Intelligence Group, Jason Foye, Senior Director and Head of FINRA's Crypto Hub, and Reema Abdelhamid, a Director with FINRA Enforcement to learn more about the strategy and the role of the Hub and FINRA’s work to advance its mission of investor protection and market integrity. Resources mentioned in this episode: FINRA Blog: An Inside Look into FINRA’s Crypto Asset Work Episode 112: FINRA's Complex Investigations and Intelligence Team & Cyber and Analytics Unit Episode 138: FINRA’s Blockchain Lab: Regulation and Innovation For The Future Episode 145: Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam Episode 158: An Update on FINRA’s Crypto Asset Work and the Crypto Hub Episode 162: When Romance Leads to a Crypto Scam Investor Insights: What Is a Blockchain, and Why Should I Care? Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
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FINRA Unscripted

1 Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry 30:16
In the securities world today, there is little daylight between money laundering and fraud. As these two spaces have come to increasingly overlap, FINRA created the Special Investigations Unit, or SIU, to detect and investigate cases illicit finance, market abuse and other fraud. On this episode, we sit down with SIU Senior Director Gargi Sharma, and three investigative directors from her team: Kayla Le, Peter Gonzalez and David Byrne. They join us to share how they work to proactively identify and mitigate threats related to money laundering and other frauds. Resources mentioned in this episode: Reg Notice 21-14: FINRA Alerts Firms to Increase in ACH Instant Funds Abuse Reg Notice 22-25: Heightened Threat of Fraud Reg Notice 23-06: Effective Practices to Address Risks of Fraudulent Transfers 2023 Report on FINRA’s Examination and Risk Monitoring Program 2024 FINRA Annual Regulatory Oversight Report Investor Insight: Ramp-and-Dump Scams Investor Insight: Investment Group Imposter Scams Episode 33: AML in the Securities Industry Episode 129: Detecting and Preventing ACATS Fraud Episode 154: FINRA’s High-Risk Representative Program Episode 157: An Update on FINRA’s Financial Intelligence Unit Episode 161: FINRA CEO Robert Cook on Disrupting the Cycle of Financial Fraud Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
Gen X is often called the Forgotten Generation given how often they’re overlooked in favor of conversation around boomers, millennials or now even Gen Z. But not today. On this episode, Gen X is the one in the spotlight as we sit down Gary Mottola, research director with the FINRA Foundation, Ritta McLaughlin, director of community outreach with FINRA’s Investor Education team, and Jeremy Ko, the 2024 FINRA Foundation Ketchum Visiting Scholar, to dig into the financial health of those born between 1965 and 1980 and, importantly, their perception of their own financial well-being. Resources mentioned in this episode: How Gen X Compares Financially to Other Generations: Doing Alright but Feeling Bad FINRA Foundation National Financial Capability Study Episode 19: Debunked: 7 Myths about Millennials—the Underinvested Generation Episode 22: Millennials and Money: How to Get Started on the Road to Investing Episode 134: Gen Z Investors: A Look at the Attitudes and Behaviors of the Youngest Investors [KK1] Need link Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? These are important questions to ask – and find the answers to – both as consumers and as an industry with an interest in disrupting the cycle of financial fraud. On this episode, we hear from moderator Emma Fletcher, a senior data researcher with the FTC, and panelists Marti DeLiema, Assistant Research Professor at the University of Minnesota, Twin Cities, Duygu Başaran Şahin, a postdoctoral research fellow at the RAND Center for the Study of Aging, and Gary Mottola, research director for the FINRA Foundation, about the latest research into these important questions and learn more about what might stop someone from engaging with a fraud to begin with. Resources mentioned in this episode: Exposed to Scams: What Separates Victims from Non-Victims Does One Size Fit All? An Examination of Risk Factors by Scam Type Fraud Victimization Across the Lifespan: Evidence on Repeat Victimization Using Perpetrator Data Addressing the Problem of Chronic Fraud Victimization Vulnerability of Older Adults to Government Impersonation Scams A Review of Scam Prevention Messaging Research Protecting Retail Customers from Gift Card Payment Scams FINRA Foundation Research Center Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
The number of highly sophisticated crypto scams is growing, with Americans losing an estimated $5.6 billion to crypto-related scams in 2023, according to the FBI, a 45 percent jump from the prior year. And often crypto fraud is tied in with romance scams, with criminals targeting victims through texts, dating sites, social media, networking channels or other apps. While we all like to think we would be immune to such scams, research has shown time and again that everyone is vulnerable, even the most highly educated among us. On this episode, we hear the firsthand accounts of Jules and Brian, two victims of romance crypto scams, who recently spoke at a FINRA Foundation conference on disrupting the cycle of financial fraud. They sat down with Kim Casci-Palangio, program manager of the Cybercrime Support Network (CSN), to share their experiences, the financial, mental and emotional toll they took, and their efforts to recover from their loss. This audio was edited to remove personally identifying information about our victims. Resources mentioned in this episode: Cybercrime Support Network Romance Scam Recovery Group FINRA Foundation FBI Internet Crime Complaint Center (IC3) Non-Traditional Costs of Financial Fraud Investor Alert: Relationship Investment Scams ‘Pig Butchering’ Scams: What They Are and How to Avoid Them Crypto Investment Scams Infographic Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
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FINRA Unscripted

Last week, FINRA CEO Robert Cook spoke to an audience of regulators, academics, law enforcement agencies, advocacy groups and financial firms at a conference hosted by the FINRA Foundation to underscore the importance of working together to disrupt the cycle of fraud. He highlighted specific areas for further coordination and announced that FINRA will reach out operators of existing regulatory databases to explore ways to create a one-stop shop resource for investor research. On this episode, we tune in to his remarks. Resources mentioned in this episode: Full Text of Speech As Prepared for Delivery Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail Subscribe to our show on Apple Podcasts , Google Play and by RSS .…
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