Focus on FINRA Enforcement with Jessica Hopper
inSecurities
English - December 16, 2021 14:46 - 58 minutes - 53.5 MBNews Business Non-Profit Homepage Download Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: Full Disclosure: Commissioner Lee on Private Markets and ESG
In this episode of the inSecurities podcast, Chris and Kurt sit down with FINRA Head of Enforcement Jessica Hopper to talk about the role of FINRA Enforcement and several of FINRA’s enforcement priorities – including “finfluencers,” cybersecurity, and complex products – and then bust a few myths about FINRA Enforcement.
Tune in to this episode of FINRA’s own podcast, Unscripted, to hear more from Jessica: https://www.finra.org/media-center/finra-unscripted/enforcement-jessica-hopper-introduction
https://www.pli.edu/insecurities