FINRA Unscripted Podcast

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705 - 1.2K listeners Female/Male 4.8 rating 47 reviews 47 episodes USA
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30s Ad: $27 - $33 60s Ad: $32 - $38 CPM Category: Business
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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.

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Emails, Phones, and Addresses

Contact Page Emails

Emails
Phone Numbers
  • General inquiries contact number: 301-590-6500
Addresses
  • FINRA Support Center address: 1700 K Street, NW Washington, DC 20006
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General Website Emails

  • me***@finra.org

Externally Sourced Emails

  • fi***@finra.org
  • fi***@finra.org

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Recent Hosts, Guests & Topics

Here's a quick summary of the last 5 episodes on FINRA Unscripted.

Hosts

N/A FINRA Unscripted

Previous Guests

Robert Cook
Robert Cook is the President and CEO of FINRA, overseeing the organization’s regulatory operations and initiatives.
Greg Ruppert
Greg Ruppert is the Executive Vice President of Member Supervision at FINRA. He has extensive experience in regulatory oversight and compliance within the financial services industry. In his role, he oversees the supervision of member firms and is responsible for ensuring that they adhere to regulatory standards and best practices. Ruppert is known for his insights into emerging risks and challenges faced by broker-dealers, particularly in relation to third-party vendor relationships and cybersecurity.
Elizabeth Yoka
Elizabeth Yoka is the manager of the VAST Intake team at FINRA, where she oversees the intake process for inquiries and concerns related to vulnerable adults and seniors. With a background in regulatory compliance and investor protection, she plays a crucial role in ensuring that the FINRA Securities Helpline for Seniors effectively addresses the needs of vulnerable investors.
Michael Paskin
Michael Paskin is the manager of the VAST Investigations team at FINRA. He is responsible for leading investigations related to the protection of vulnerable adults and seniors in the financial markets. With extensive experience in regulatory oversight and a commitment to safeguarding investor interests, Michael contributes significantly to the effectiveness of the FINRA Securities Helpline for Seniors.
Rob Mascio
Rob Mascio is the Director of the FINRA Investor Education Foundation, where he leads initiatives aimed at educating investors about financial fraud and promoting informed investment decisions. With a background in financial regulation and consumer protection, Rob has been instrumental in developing resources and tools that help investors recognize and avoid scams. His expertise includes analyzing trends in financial fraud and providing practical advice to safeguard investments.
Jim Reese
Jim Reese is the Senior Vice President of Data and Analytics for Member Supervision at FINRA. He leads initiatives focused on leveraging data to enhance regulatory oversight and improve compliance within the broker-dealer industry.
Brita Bayatmakou
Brita Bayatmakou serves as a Vice President at FINRA, where she plays a key role in the Strategic Intelligence and Analytics (StratIntel) team. Her expertise lies in analyzing industry trends and developing strategies to mitigate emerging risks.
Clint Johnson
Clint Johnson is a Vice President at FINRA and a member of the StratIntel team. He focuses on utilizing data analytics to support FINRA's mission of investor protection and to enhance the organization's risk monitoring capabilities.

Topics Discussed

regulatory topics capital formation modern workplace rules outside activities member firms corporate financing fees transaction reporting third-party risk vendor-related cybersecurity threats fourth-party relationships FINRA regulatory oversight FINRA Securities Helpline for Seniors investor protection Vulnerable Adults and Seniors Team Elizabeth Yoka Michael Paskin 10th anniversary financial fraud scams fraud trends red flags safeguarding investments data risk StratIntel team intelligence gathering risk monitoring analytics market integrity

YouTube Channel

Channel Info

FINRA
@finra

Channel Stats

Subscribers: 2,450
Total Videos: 181

Description

FINRA, the self-regulator of broker-dealers, protects investors, promotes capital formation and safeguards the markets – all at no cost to American taxpayers.

Instagram Profile

Instagram

Profile Info

@finraofficial
FINRA

Account Stats

Followers: 3,137
Posts: 88

Biography

Up your investing IQ with FINRA—the not-for-profit SRO that regulates member brokerage firms in the U.S. and analyzes billions of daily market events.

Episodes

Here's the recent few episodes on FINRA Unscripted.

0:00 23:08

Robert Cook on FINRA Forward, and More

Guests
Robert Cook
Keywords
regulatory topics capital formation modern workplace rules outside activities member firms corporate financing fees transaction reporting
0:00 18:20

Vendor Vigilance: Navigating Third-Party Risk

Guests
Greg Ruppert
Keywords
third-party risk vendor-related cybersecurity threats fourth-party relationships FINRA regulatory oversight

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

0:00 27:29

Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary

Guests
Elizabeth Yoka Michael Paskin
Keywords
FINRA Securities Helpline for Seniors investor protection Vulnerable Adults and Seniors Team Elizabeth Yoka Michael Paskin 10th anniversary

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

0:00 31:16

Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape

Guests
Rob Mascio
Keywords
financial fraud investor protection scams fraud trends red flags safeguarding investments

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

0:00 35:15

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

Guests
Jim Reese Brita Bayatmakou Clint Johnson
Keywords
data risk StratIntel team intelligence gathering risk monitoring analytics investor protection market integrity

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

Ratings

Global:
4.8 rating 47 reviews

USA

4.8 ratings 44 reviews

Canada

5.0 ratings 2 reviews

UK

5.0 ratings 1 reviews

Ireland

0.0 ratings 0 reviews

Australia

0.0 ratings 0 reviews

New Zealand

0.0 ratings 0 reviews

Singapore

0.0 ratings 0 reviews

South Africa

0.0 ratings 0 reviews