Executive Vice President and Chief Market Services Officer at FINRA, Stephanie Dumont, shares in her latest blog how we are enhancing our report card program to give member firms faster, more interactive compliance insights as part of the hashtag#FINRAForward initiative. With a new interactive report card interface and expanded content, these updates reflect our commitment to building tools that meet firms’ needs and priorities. We invite member firms to continue engaging and sharing feedback to help guide future enhancements. 📄 Read the full blog: https://bit.ly/4rLhG3G
William St. Louis, Executive Vice President and Head of Enforcement at FINRA discusses how the 2026 Regulatory Oversight Report can help member firms turn insights into action. ▶️ Read the full report: https://bit.ly/48JzHqo 🎧 Listen to the podcast: https://bit.ly/4oC2fYx
Smishing involves scammers sending unsolicited messages in an attempt to steal data and wealth from investors. These scams take place through text message and platforms like iMessage, Google Messages and WhatsApp. Learn more ways to reduce your risk of getting hooked by a #smishing scam:▶️ https://bit.ly/41LpSWz
FINRA’s Crypto and Blockchain Education Program offers foundational e-learning courses designed to help financial professionals navigate the rapidly evolving crypto asset landscape. What you’ll gain: ✔️ Core blockchain and crypto asset terminology ✔️ How crypto transactions and blockchains work ✔️ Overview of crypto markets and asset types ✔️ Key considerations for firms with crypto touchpoints Self-paced courses featuring real-world scenarios are available exclusively to member firms via FLEX. ▶️ Learn more: https://bit.ly/42gN0MA
On the latest episode of hashtag#FINRAUnscripted, FINRA Regional Committee members Margaret Dubil, CRCP® and Peter Garcia, Esq., CAMS, CFE join FINRA’s Kayte Toczylowski to share their experience engaging with FINRA, and how FINRA listens to industry feedback and takes action. Learn more about how member firms can help shape regulation, access valuable resources, and strengthen industry connections on this episode. 🎧 Listen now: https://bit.ly/4pau9vP
During hashtag#InternationalFraudAwarenessWeek, we’re reminding you to talk to someone you trust, before investing to help you recognize any red flags. Ignore pressure tactics, and before making a decision, consult a friend, family member, or investment professional, especially if the pitch is unsolicited or confusing. Learn more tips: https://bit.ly/3K0KqEs
congratulations to Stephanie Dumont, Executive Vice President and Chief Market Services Officer at FINRA, for receiving Markets Media Group’s 2025 U.S. Women in Finance Award for Excellence in Regulation! This recognition highlights Stephanie’s leadership in overseeing fair and transparent market regulation to protect investors and strengthen market integrity. Learn more about FINRA's Regulatory Operations: https://bit.ly/4oEKBEp
Congratulations to FINRA's Chief Information and Security Officer (CISO), Eric Pickersgill, for being named Cyber Defense Magazine's Top Global CISO for the third year in a row! This award recognizes cybersecurity leaders driving innovation and reflects our hashtag#FINRAForward initiative to support member firms in protecting themselves and investors from harm. Learn more about FINRA Forward: https://bit.ly/4gXNVHz
Cyber threats are evolving, and so are the ways FINRA is helping member firms stay resilient. In this episode of hashtag#FINRAUnscripted, FINRA's Senior Vice President of Complex Investigations and Intelligence Bryan Smith, shares how hashtag#FINRAForward is strengthening cybersecurity through collaborative intelligence sharing. Learn how tabletop exercises and workshops, the Cyber and Operational Resilience program, and the forthcoming Financial Intelligence Fusion Center can help firms prevent, prepare for, and respond to evolving threats. 🎧 Listen to the full episode here: https://bit.ly/3X1rJn0= hashtag#InternationalFraudAwarenessWeek
As tools using AI technology evolve, so do the tactics of fraudsters. From deepfake videos to AI-generated phishing messages, GenAI capabilities have fueled a new wave of scams targeting investors. Stay ahead of emerging threats this hashtag#WorldInvestorWeek and learn how to protect your financial accounts. ▶️ Learn more: https://bit.ly/4q5kl7n=
