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Introducing Stephanie Dumont

Introducing Stephanie Dumont

FromFINRA Unscripted


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)

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.