20 min listen
Introducing Stephanie Dumont
FromFINRA Unscripted
ratings:
Length:
25 minutes
Released:
Jul 13, 2021
Format:
Podcast episode
Description
FINRA’s Market Regulation and Transparency Services department sits at the center of the U.S. securities markets, conducting ongoing oversight within and across markets and providing transparency to help investors make informed decisions. On this episode, we meet Stephanie Dumont, the new head of FINRA’s Market Regulation and Transparency Services department. Stephanie shares her priorities, her vision for the department, and how FINRA is responding to recent market events. Resources mentioned in this episode:Market Transparency Reporting ToolsTRACE Treasury Aggregate Statistics
Released:
Jul 13, 2021
Format:
Podcast episode
Titles in the series (100)
The Senior Helpline: Addressing the Unique Needs of Senior Investors: Senior investors may have unique needs that elevate the need for expedited attention with securities brokerage concerns. For three years, FINRA’s Securities Helpline for Seniors has been working to address those needs. Here’s how. by FINRA Unscripted