Unpacking the 2025 FINRA Annual Regulatory Oversight Report
01/28/25 • 24 min
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
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
Previous Episode
Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
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:
FINRA Investor Education Foundation
Next Episode
Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team
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
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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