Dive into FINRA's margin rule, Rule 4210, with us in our latest hashtag#FINRAUnscripted episode. We've got industry experts David Aman, James Barry and Michael MacPherson to help explore its impact on firms and purpose. Listen here 🎧 https://bit.ly/4cgrKsF
Tune in to the latest episode of #FINRAUnscripted to hear from members of our High Risk Representative unit: Brooks Brown, Eric Hebert, CFE, CAMS and John Salerno, CFE. Discover how they identify and monitor individuals who pose an elevated risk of misconduct to protect investors and maintain the integrity of the market. Listen here 🎧 https://bit.ly/3Kjggst
Question: Is FINRA making member firms come back to the office 5 days a week? Answer: No. Learn more, including what the rules state: https://bit.ly/3yyJalR
The financial industry is now at the forefront of growing cyber attacks. Anne Neuberger of the National Security Council, The White House, gives perspective on the latest threat intelligence and how they mitigate threats. Learn more about hashtag#FINRAAC: https://bit.ly/3wT7xtt
Director of FINRA's Investor Education Outreach, Robert Mascio, shares insights into actions firms and regulators are taking to minimize the financial risks that target the aging investor population. Learn more about #FINRAAC: https://bit.ly/3wT7xtt
Artificial Intelligence is transforming the future and has unique implications for the financial sector. Lisa Roth, of Monahan & Roth, LLC sheds light on how your employees might be using AI in their daily work functions. Learn more about #FINRAAC: https://bit.ly/3wT7xtt
In the latest #FINRAUnscripted we hear from FINRA's SVP of the Market Abuse Unit, Sam Draddy, and VP of the Insider Trading Detection Program, Karen Braine, to discuss the role FINRA's Insider Trading Detection Program has in ensuring market integrity. Listen here 🎧 https://bit.ly/3wqon3j
While FINRA will never ask you for money, there are scammers who might try to convince you otherwise. These financial fraudsters are posing as regulators and can look surprisingly real. Learn what to look out for: https://bit.ly/3doMfKN
FOMO can make it hard to keep your emotions in check when making investing decisions. We’ve partnered with "This is Not Financial Advice" by Optimist and XTR to get young investors thinking about what (or who) influences their decision making. Thanks to The University of Georgia, University of Connecticut, Princeton University, University of Nebraska-Lincoln, University of Nebraska at Omaha, University of Nebraska at Kearney and Southeast Community College for hosting us on the first leg of our college tour! hashtag#TINFA hashtag#investing
Explore the critical work of our Vulnerable Adults and Seniors Team in the newest episode of #FINRAUnscripted! We collaborate with investors, member firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors. Listen here to learn more 🎧 https://bit.ly/4dhHUDw
