Greg Ruppert joined FINRA in 2020 to form and lead the National Cause and Financial Crimes Detection Programs. Now, he’s been tapped to lead Member Supervision, the team responsible for the surveillance and examination of FINRA member firms and for detecting and deterring activities that can cause investor harm. 

On this episode, we talk to Greg about how he views this transition in leadership and his goals and areas of focus in his new role.

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Resources mentioned in this episode:

2022 Report on FINRA's Examination and Risk Monitoring Program

Episode 60: Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs

Episode 86: FINRA’s Financial Intelligence Unit: Connecting the Dots

2021 Report on FINRA’s Examination and Risk Monitoring Program

PLI Podcast: Focus on FINRA Enforcement with Jessica Hopper

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