A Few Minutes with FINRA: High-Risk Brokers

January 10, 2018

Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, leads a discussion with Mike Rufino, Executive Vice President and Head of FINRA Member Regulation—Sales Practice, about FINRA’s High-Risk Registered Representative Program. The discussion includes an overview of the program, the criteria FINRA uses to identify high-risk activity, and tools and resources that are available to help firms perform their own reviews. (8 min. 45 sec.)