Vendor Vigilance: Navigating Third-Party Risk

Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interested in it? What can FINRA member firms do to mitigate that risk? And how can FINRA help? These questions will be answered on the latest episode of FINRA Unscripted, featuring a returning guest, FINRA's Executive Vice President of Member Supervision Greg Ruppert.

2023078835001 Tejinder Singh CRD 2547590 Complaint lp (2025-1748823607639).pdf

The Department of Enforcement alleges: 1. In 2023 and 2024, FINRA was investigating whether Respondent Tejinder Singh made material misrepresentations to improperly obtain a $38,541 Paycheck Protection Program (PPP) loan, the funds from which passed through his broker-dealer, and whether Singh had failed to disclose an outside business activity on his Form U4. 2.

Odyssey Personal Financial Comment On Regulatory Notice 25-05

Ms. Jennifer Piorko Mitchell

Office of the Corporate Secretary FINRA

1735 K Street

Washington, DC 20006

Re: Request for Comment on Regulatory Notice25-05

Dear Ms. Mitchell,

I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment on the newly proposed Rule 3290 as set forth in FINRA Regulatory Notice 25-05.

Subscribe to