“Can we make a difference? Can this actually work?” Those are the questions FINRA’s Yvette Panetta and her team asked themselves when they launched the Securities Helpline for Seniors.

Three years later, the answer to both questions is clearly yes. Since April 2015, FINRA’s Senior Helpline has helped nearly 13,000 senior investors with everything from simple questions, such as “how do I find out more information about my broker,” to serious concerns, including potential broker misconduct and allegations of fraud.

Yvette Panetta, Brooke Hickman and Robert Mascio share how they helped develop the Senior Helpline into more than just another call center, but rather into a valuable resource for senior investors and FINRA member firms alike.

Resources mentioned in this episode:

844-57-HELPS (844-574-3577)

7: One FINRA: A Commitment to Diversity and Inclusion

Do you show your true self at work? Or do you censor your emotions and self-expression to align with your work’s established environment? If you censor yourself, you’re not alone.

Now imagine an organization where you could bring your “100 percent authentic self” to work. FINRA’s Audria Lee explains that if diversity is being invited to the party; inclusion is being invited to dance. FINRA strives to achieve both because both are essential to an organization’s long-term success. Diverse and inclusive work environments see greater employee satisfaction, engagement and creativity, as well as greater overall company productivity and success.

Guests Audria Lee and Denise Fields are leaders advancing workplace equality at FINRA and serve as an example for the greater financial services industry. Hear them discuss FINRA’s Diversity and Inclusion programs, initiatives, successes and challenges, and share strategic steps and actionable tips employers can take to improve diversity and inclusion in their own workplace.

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Do you show your true self at work? Or do you censor your emotions and self-expression to align with your work’s established environment? If you censor yourself, you’re not alone.

Now imagine an organization where you could bring your “100 percent authentic self” to work. FINRA’s Audria Lee explains that if diversity is being invited to the party; inclusion is being invited to dance. FINRA strives to achieve both because both are essential to an organization’s long-term success. Diverse and inclusive work environments see greater employee satisfaction, engagement and creativity, as well as greater overall company productivity and success.

Guests Audria Lee and Denise Fields are leaders advancing workplace equality at FINRA and serve as an example for the greater financial services industry. Hear them discuss FINRA’s Diversity and Inclusion programs, initiatives, successes and challenges, and share strategic steps and actionable tips employers can take to improve diversity and inclusion in their own workplace.  

About 70 percent of Americans expect to receive a tax refund this year. If you are one of them, FINRA’s senior vice president of Investor Education Gerri Walsh has some tips on how you can put that cash to work for you. 

Watch:

Listen:

Our tech-connected world faces threats against our data and technology. Both people and businesses must be vigilant to avoid a breach. In this FINRA Unscripted episode, hear from John Brady, FINRA's vice president for cybersecurity, as he talks to FINRA's Mike Rote about what his team does to combat threats and tips you can use in your life to be cyber secure. Watch: Listen:

Find us:  X / YouTube /LinkedIn / Facebook /  E-mail

Our tech-connected world faces threats against our data and technology. Both people and businesses must be vigilant to avoid a breach. In this FINRA Unscripted episode, hear from John Brady, FINRA's vice president for cybersecurity, as he talks to FINRA's Mike Rote about what his team does to combat threats and tips you can use in your life to be cyber secure.

Watch:

Listen:

“We need to talk…” Do you shy away from talking about money with your partner? Do you wonder how to start? In this FINRA Unscripted episode, hear some tips about how to do so and things to consider when Gerri Walsh, president of the FINRA Investor Education Foundation, talks with FINRA's Michelle Volpe-Kohler about talking to your Valentine about money.

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5: A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs

It is 2018. America is facing a wave of new government appointments and upcoming elections at all levels of the government. And with new leaders, come new priorities.

Effective government relations are essential to FINRA’s success. So, how does FINRA navigate the changing environment? According to FINRA’s Senior Vice President of Government Affairs, Greg Dean, by building and maintaining genuine relationships and by telling FINRA’s story.

In this episode of FINRA Unscripted, Dean shares how FINRA has achieved success in the government affairs space.

Resources mentioned in this episode:

OATS

Senior Helpline

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Government affairs professionals have a unique role at a regulatory organization. Hear from FINRA's Senior Vice President of Government Affairs, Greg Dean, as he talks with FINRA's Eric Szaal about how he works with federal and state legislators, as well as other regulators, to facilitate FINRA's mission.

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4: Investing Smarter

Do you have student loan payments every month? If you do, you’re not alone. Almost 70 percent of US grads leave college with student debt. And many are entering the job market in debt and entirely unprepared to manage their own finances. This is exactly what happened to our guest today, Gerri Walsh.

It wasn’t until Gerri’s law school graduation day that she learned how much she had incurred in student loans, and it was more than she ever imagined. So today, Gerri works to make sure what happened to her, doesn’t happen to anyone else.

Gerri is the head of FINRA’s investor education efforts and the FINRA Foundation is here today to help make us all smarter investors.

Resources mentioned in this episode:

FINRA Foundation

Investor Resources

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