PLI’s in-depth podcast examining changes to securities rules, regulations, and cases from a practitioner’s perspective in both law and accounting.
Episodes
Thursday Dec 16, 2021
Thursday Dec 16, 2021
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