FINRA – Issued podcast on market regulation and transparency

July 13, 2021 -FINRA introduced Stephanie Dumont, following her recent promotion as head of FINRA market regulation and transparency services department in March 2021. Podcast discussed Dumont’s priorities, vision for department, and recent market events.

Market Regulation and Transparency
Dumont reported her vision to focus on a critical central role in cross-market oversight. Focused on continuing to be best in class in the agency’s surveillance and technology.

Continuously thinking about how to improve transparency for investors, markets, and regulators. Enterprise-wide priority, strategic focus on efficient, integrated regulatory operations. Discussed rapid remediation program, to more quickly resolve firm compliance issues.

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