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On this episode of hashtag#FINRAUnscripted, Gerri Walsh, FINRA Investor Education Foundation President explores what financial security truly means in 2026, focusing on resilience and preparation. She breaks down insights from new investor research and shares how firms can better protect, educate and empower their customers in a rapidly evolving financial landscape. Listen here 🎧: https://bit.ly/4kilK84
Feeder funds are one way for retail investors to gain exposure to alternative investment strategies. While the structure of these funds might offer lower investment minimums than traditional alternative investments, they also have unique features and potential limitations. Before investing, take time to understand how these funds work and whether they fit with your financial goals. ▶️ Learn more: https://bit.ly/4t1Dxo5
In a new blog, Greg A. Ruppert, Executive Vice President and Chief Regulatory Operations Officer at FINRA, shares early observations on AI agents from FINRA’s engagement with member firms, including how they are being used today and the potential benefits and risks they may bring. As part of hashtag#FINRAForward, FINRA is closely monitoring how these tools are being adopted across member firms to help facilitate informed industry dialogue on GenAI. 📄 Read the full blog: https://bit.ly/4pZX1GM
Most mutual funds and ETFs pool investor money to purchase individual assets. Funds of funds work differently—they invest in other funds, offering broader diversification but potentially having higher fees and added risks. Before you choose this type of investment, take time to understand how it fits with your financial goals and overall strategy. Learn more: https://bit.ly/49TPNiO
A new year offers a fresh opportunity to check in on your financial health. It’s a great time to revisit your budget, review your investments and take small steps that can make a big difference over time. Whether you’re just getting started or looking to strengthen your financial habits, here are five tips to help boost your financial savvy for the year ahead. ▶️ Learn more: https://bit.ly/38J3uzA
As crypto markets continue to evolve, understanding the fundamentals is critical. FINRA’s Crypto and Blockchain Education Program offers expert-developed resources to help financial professionals confidently engage with blockchain concepts. Courses are self-paced and available exclusively to member firms via FLEX. Coming up: Advanced learning opportunities and an immersive program at Georgetown University in 2026. ▶️ Learn more: https://bit.ly/4q9qzTn
FINRA continues to see a sharp rise in complaints tied to fraudulent “investment groups” promoted on social platforms. In these scams, bad actors pose as registered investment professionals, encourage investors to join encrypted group chats and pitch investments as part of ramp-and-dump scams. Be wary of receiving financial advice in encrypted chat groups and of unsolicited messages and social media posts promoting investment opportunities. ▶️ Learn how to spot the red flags: https://bit.ly/4arKoAq
Greg A. Ruppert, Executive Vice President and Chief Regulatory Operations Officer at FINRA, recently joined Jim Toes, President and CEO of the Security Traders Association on their Open Call podcast to discuss hashtag#FINRAForward, how FINRA provides actionable intelligence to help member firms address evolving risks, using AI to combat fraud, and the 2026 FINRA Regulatory Oversight Report. 🎧 Watch or listen to this episode to learn more: https://lnkd.in/e677KB-9
Advanced technology is making old fraud tactics far more dangerous, especially for vulnerable investors. Feral Talib, EVP and Head of Market Oversight at FINRA shares more insights from the 2026 Regulatory Oversight Report, released early as part of hashtag#FINRAForward to help firms stay ahead of emerging risks. 🎧 Listen to the podcast: https://bit.ly/4oC2fYx ▶️ Read the full report: https://bit.ly/48JzHqo
Ornella Bergeron, Senior Vice President of Member Supervision at FINRA, shares how member firms can review the 2026 Regulatory Oversight Report and leverage effective practices and resources for smarter compliance planning. 🎧 Listen to the podcast: https://bit.ly/4oC2fYx ▶️ Read the full report: https://bit.ly/48JzHqo
