Podcasts Government FINRA Unscripted
FINRA Unscripted

FINRA Unscripted

78 episodes

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.

Podcasts

Encore | Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning

Published: Nov. 28, 2023, 11:30 a.m.
Duration: 27 minutes 24 seconds

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2023 Small Firm Conference: A Fireside Chat with Robert Cook

Published: Nov. 16, 2023, 11:30 a.m.
Duration: 13 minutes 22 seconds

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Scary Money: The Latest Research from FINRA Investor Education Foundation

Published: Oct. 31, 2023, 10:30 a.m.
Duration: 23 minutes

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2023 Ketchum Prize: The Ultimate Fraud Fighter

Published: Oct. 17, 2023, 10:30 a.m.
Duration: 29 minutes 49 seconds

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Optimizing Efficiencies: An Update to FINRAs MAP Transformation

Published: Oct. 3, 2023, 10:30 a.m.
Duration: 16 minutes 3 seconds

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FINRAs Blockchain Lab: Regulation and Innovation For The Future

Published: Sept. 19, 2023, 10:30 a.m.
Duration: 28 minutes 31 seconds

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A Closer Look at Crypto: The Crucial Role of FINRAs CAI Team

Published: Sept. 5, 2023, 10:30 a.m.
Duration: 30 minutes 5 seconds

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An Introduction to FINRAs Crypto Asset Work and the Crypto Hub

Published: Aug. 8, 2023, 10:30 a.m.
Duration: 31 minutes 38 seconds

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Facilitation, Formation and Feedback: FINRAs Reg Notice on the Capital Raising Process

Published: July 25, 2023, 10:30 a.m.
Duration: 18 minutes 49 seconds

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Gen Z Investors: A Look at the Attitudes and Behaviors of the Youngest Investors

Published: July 11, 2023, 10:30 a.m.
Duration: 33 minutes 12 seconds

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Preventing Financial Exploitation: Steps for Safeguarding Senior Investors

Published: June 27, 2023, 10:30 a.m.
Duration: 33 minutes 24 seconds

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The FINRA Examination Team: The Ins and Outs of FINRAs Annual Program

Published: June 13, 2023, 10:30 a.m.
Duration: 32 minutes 24 seconds

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In Review: Looking Forward with FINRA and Board Chair Eric Noll

Published: May 30, 2023, 10:30 a.m.
Duration: 25 minutes 6 seconds

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Enforcement and Economics: Driving Better Case Outcomes Through Collaboration

Published: May 16, 2023, 10:30 a.m.
Duration: 21 minutes 1 second

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A New Twist on New Account Fraud: Detecting and Preventing ACATS Fraud

Published: May 2, 2023, 10:30 a.m.
Duration: 23 minutes 26 seconds

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2023 Senior Investor Protection Conference: The Latest Trends, Scams and Schemes

Published: April 18, 2023, 10:30 a.m.
Duration: 26 minutes 44 seconds

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FINRA's Risk Monitoring Program: Understanding the Unique Risks of Every Firm

Published: April 4, 2023, 10:30 a.m.
Duration: 33 minutes 16 seconds

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Encore | Membership Application Program: Reviewing and Approving Digital Asset Firms

Published: March 21, 2023, 10:30 a.m.
Duration: 24 minutes 17 seconds

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Then and Now: Following Up with the New and Experienced Investors of 2020

Published: March 7, 2023, 4 p.m.
Duration: 35 minutes 36 seconds

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Introducing REMA: Thinking Differently About Rulemaking, Decision-Making, Innovation and More

Published: Feb. 21, 2023, 11:30 a.m.
Duration: 30 minutes 8 seconds

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A New Tool for Compliance: FINRAs Machine-Readable Rulebook Initiative

Published: Feb. 7, 2023, 11:30 a.m.
Duration: 26 minutes 41 seconds

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Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning

Published: Jan. 24, 2023, 11:30 a.m.
Duration: 27 minutes 7 seconds

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2023s Must-Read | Report on FINRAs Examination and Risk Monitoring Program

Published: Jan. 10, 2023, 2:55 p.m.
Duration: 37 minutes 4 seconds

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Gift Guide for CCOs: Top Five FINRA Compliance Tools and Resources

Published: Dec. 13, 2022, 11:30 a.m.
Duration: 21 minutes 31 seconds

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Encore | Fraud Stoppers: FINRAs Market Investigations Group

Published: Nov. 29, 2022, 5:20 p.m.
Duration: 24 minutes 39 seconds

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Enhancing Your Compliance Practice with the FINRA Institute at Georgetown CRCP Program

Published: Nov. 15, 2022, 11:30 a.m.
Duration: 16 minutes 37 seconds

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Membership Application Program: Reviewing and Approving Digital Asset Firms

Published: Nov. 1, 2022, 10:30 a.m.
Duration: 24 minutes 7 seconds

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2022 Ketchum Prize: Advancing Financial Inclusion and Alleviating Racial and Gender Bias in Agricultural Lending

Published: Oct. 18, 2022, 10:30 a.m.
Duration: 25 minutes 41 seconds

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CE Transformation Update: Annual Regulatory Element and the Latest on the MQP

Published: Oct. 4, 2022, 10:30 a.m.
Duration: 18 minutes 34 seconds

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FINRA Enforcement: Bringing Cases Against Individual Brokers

Published: Sept. 20, 2022, 10:30 a.m.
Duration: 16 minutes 40 seconds

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Regulatory Operations: Stronger Regulation Through Integrated Oversight

Published: Sept. 6, 2022, 10:30 a.m.
Duration: 33 minutes 56 seconds

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Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit

Published: Aug. 9, 2022, 10:30 a.m.
Duration: 26 minutes 55 seconds

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Financial Capability Study: Financial Wellbeing During a Global Pandemic

Published: July 26, 2022, 10:30 a.m.
Duration: 33 minutes 58 seconds

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Encore | The Cornerstone of FINRAs Market Surveillance Program: A Historical Commitment to Market Transparency

Published: July 12, 2022, 11 a.m.
Duration: 29 minutes 16 seconds

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Regulation Best Interest and Form CRS: Two Years In

Published: June 28, 2022, 11 a.m.
Duration: 38 minutes 59 seconds

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Building a Better Future: FINRAs Diversity, Equity & Inclusion Program

Published: June 14, 2022, 11 a.m.
Duration: 35 minutes 26 seconds

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AML Update: The Latest Trends and Effective Practices

Published: May 31, 2022, 11 a.m.
Duration: 26 minutes 6 seconds

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FINRA Annual Conference: Fireside Chat with Eileen Murray

Published: May 17, 2022, 11 a.m.
Duration: 26 minutes 13 seconds

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The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512

Published: May 3, 2022, 11 a.m.
Duration: 24 minutes 13 seconds

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MAP Transformation: Streamlining FINRA's Gatekeeper Function

Published: April 19, 2022, 11 a.m.
Duration: 19 minutes 52 seconds

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Encore | FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families

Published: April 5, 2022, 11:45 a.m.
Duration: 32 minutes 44 seconds

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Fraud Stoppers: FINRAs Market Investigations Team

Published: March 22, 2022, 11:45 a.m.
Duration: 24 minutes 8 seconds

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Report on FINRAs Examination and Risk Monitoring Program | A Comprehensive Reference Item for Firms

Published: March 8, 2022, 12:45 p.m.
Duration: 21 minutes 13 seconds

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Celebrating 100: FINRA Unscripted's Greatest Hits

Published: Feb. 22, 2022, 12:30 p.m.
Duration: 18 minutes 54 seconds

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From NCFC to Member Supervision Head: Reintroducing Greg Ruppert

Published: Feb. 8, 2022, 12:45 p.m.
Duration: 24 minutes 27 seconds

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Deep Learning: The Future of the Market Manipulation Surveillance Program

Published: Jan. 25, 2022, 12:45 p.m.
Duration: 30 minutes 14 seconds

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What to Expect: CE Transformation & Maintaining Qualifications Program

Published: Jan. 11, 2022, 12:45 p.m.
Duration: 26 minutes 6 seconds

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Encore | At, By or Through: Fraud in the Broker-Dealer Industry

Published: Dec. 14, 2021, 12:45 p.m.
Duration: 32 minutes 30 seconds

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The Cornerstone of FINRAs Market Surveillance Program: A Historical Commitment to Market Transparency

Published: Nov. 30, 2021, noon
Duration: 28 minutes 56 seconds

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2021 Small Firm Conference: A Fireside Chat with Robert Cook and Greg Ruppert

Published: Nov. 16, 2021, 12:45 p.m.
Duration: 24 minutes

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FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families

Published: Nov. 2, 2021, 11:45 a.m.
Duration: 32 minutes 28 seconds

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Encore | Overlapping Risks: Anti-Money Laundering and Cybersecurity

Published: Oct. 19, 2021, 11:45 a.m.
Duration: 29 minutes 13 seconds

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2021 Ketchum Prize: Expanding Financial Capability in Native Communities

Published: Oct. 5, 2021, 2 p.m.
Duration: 26 minutes 5 seconds

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Make Your Voice Heard: FINRA's Regional Committees

Published: Sept. 7, 2021, 11:45 a.m.
Duration: 20 minutes 23 seconds

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The Journey to the Cloud: Implications for the Securities Industry

Published: Aug. 24, 2021, 11:30 a.m.
Duration: 28 minutes 31 seconds

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Introducing Stephanie Dumont

Published: July 13, 2021, 11:30 a.m.
Duration: 24 minutes 52 seconds

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FINRAs Financial Intelligence Unit: Connecting the Dots

Published: June 29, 2021, 11:30 a.m.
Duration: 22 minutes 12 seconds

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Building Board Diversity: FINRAs Ongoing Commitment

Published: June 15, 2021, 11:30 a.m.
Duration: 25 minutes 21 seconds

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2021 Annual Conference: Robert Cook and Eileen Murray Fireside Chat

Published: June 1, 2021, 11:30 a.m.
Duration: 25 minutes 7 seconds

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Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead

Published: May 18, 2021, 11:30 a.m.
Duration: 36 minutes 56 seconds

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Advanced Analytics: Transforming Advertising Regulation

Published: May 4, 2021, 11:30 a.m.
Duration: 27 minutes 51 seconds

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At, By or Through: Fraud in the Broker-Dealer Industry

Published: April 20, 2021, 11:30 a.m.
Duration: 32 minutes 3 seconds

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Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead

Published: April 6, 2021, 11:30 a.m.
Duration: 25 minutes 59 seconds

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Year in Review: The 2020 Exam and Risk Monitoring Program

Published: March 23, 2021, 11:30 a.m.
Duration: 26 minutes 31 seconds

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Cybersecurity: Current and Emerging Industry Priorities and Threats

Published: March 9, 2021, 12:30 p.m.
Duration: 32 minutes 17 seconds

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Behind the Process: How an Enforcement Action Becomes an Enforcement Action

Published: Feb. 23, 2021, 12:30 p.m.
Duration: 26 minutes 29 seconds

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Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology

Published: Feb. 9, 2021, 12:30 p.m.
Duration: 20 minutes 38 seconds

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Revolutionizing the Digital Experience: Form U4 and FINRA Gateway

Published: Jan. 26, 2021, 12:30 p.m.
Duration: 28 minutes 40 seconds

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Member Relations & Education: Reimagining the Future of Engagement

Published: Jan. 12, 2021, 12:30 p.m.
Duration: 26 minutes 6 seconds

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AI Virtual Conference: Industry Views on the State of Artificial Intelligence

Published: Nov. 24, 2020, 12:30 p.m.
Duration: 32 minutes 3 seconds

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Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation

Published: Nov. 10, 2020, 12:30 p.m.
Duration: 29 minutes 15 seconds

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Overlapping Risks, Part I: Anti-Money Laundering and Cybersecurity

Published: Oct. 27, 2020, 11:30 a.m.
Duration: 29 minutes 6 seconds

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2020 Ketchum Prize: The Financial Security of Americans with Disabilities

Published: Oct. 13, 2020, 11:30 a.m.
Duration: 30 minutes 52 seconds

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Excessive Trading: When A Lot Becomes Too Much

Published: Sept. 29, 2020, 11:30 a.m.
Duration: 15 minutes 55 seconds

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Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology

Published: Sept. 21, 2020, 1:52 p.m.
Duration: 20 minutes 25 seconds

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FINRAs R&D Program: Exploring the Future of Advanced Analytics

Published: Sept. 1, 2020, 11:30 a.m.
Duration: 26 minutes 29 seconds

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The Ombudsman: FINRAs Confidential, Independent Resource

Published: Aug. 18, 2020, 11:30 a.m.
Duration: 23 minutes 32 seconds

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Encore | Beyond Hollywood: Money Laundering in the Securities Industry

Published: Aug. 4, 2020, 11:30 a.m.
Duration: 25 minutes 39 seconds

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Virtual Conference Panels: Fireside Chat on Current Issues

Published: July 21, 2020, 11:30 a.m.
Duration: 16 minutes 22 seconds

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Regulation Best Interest: Implementing a New Standard of Conduct

Published: July 7, 2020, 11:30 a.m.
Duration: 31 minutes 56 seconds

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Protecting the Most Vulnerable: How FINRA Enforcement Prioritizes Senior Investors

Published: June 23, 2020, 11:30 a.m.
Duration: 17 minutes 32 seconds

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COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis

Published: June 9, 2020, 11:30 a.m.
Duration: 21 minutes 5 seconds

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Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs

Published: May 26, 2020, 11:30 a.m.
Duration: 23 minutes 51 seconds

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FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad

Published: May 12, 2020, 11:30 a.m.
Duration: 26 minutes 3 seconds

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Market Structure & COVID-19: Handling Increased Volatility and Volumes

Published: April 28, 2020, 11:30 a.m.
Duration: 28 minutes 25 seconds

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Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection

Published: April 14, 2020, 11:30 a.m.
Duration: 26 minutes 35 seconds

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Business in the Time of COVID-19: BCPs, Regulatory Relief & More

Published: March 31, 2020, 11:30 a.m.
Duration: 18 minutes 59 seconds

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The MAP Group: Gatekeeper to the Broker-Dealer Industry

Published: March 17, 2020, 11:30 a.m.
Duration: 23 minutes

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FINRA & CE Council: Enhancing Industry Continuing Education

Published: March 3, 2020, 12:30 p.m.
Duration: 25 minutes 14 seconds

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Advertising Regulation: Expect More Than Just Hype

Published: Feb. 18, 2020, 12:30 p.m.
Duration: 23 minutes 17 seconds

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Encore | Insider Trading: Finding the Needle in the Haystack

Published: Feb. 4, 2020, 12:30 p.m.
Duration: 27 minutes 24 seconds

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What Fees?: A Look at American Investor Knowledge

Published: Jan. 21, 2020, 12:30 p.m.
Duration: 24 minutes 52 seconds

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What to Expect: The 2020 Exam and Risk Monitoring Program

Published: Jan. 7, 2020, 12:30 p.m.
Duration: 25 minutes 36 seconds

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A Career Highlight: Exam and Risk Monitoring Program Transformation Update

Published: Dec. 10, 2019, 1:41 p.m.
Duration: 20 minutes 51 seconds

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Encore | How FINRA Rules Get Made (And Reviewed)

Published: Nov. 26, 2019, 12:30 p.m.
Duration: 23 minutes 11 seconds

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The Buildathon: Creating New Technology in Service of Investors

Published: Nov. 12, 2019, 5:30 p.m.
Duration: 28 minutes 48 seconds

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2019 Ketchum Prize: The Evolving World of Retirement Security

Published: Oct. 29, 2019, 11:30 a.m.
Duration: 28 minutes 21 seconds

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Regulation Best Interest: Preparing for a New Standard of Conduct

Published: Oct. 15, 2019, 11:30 a.m.
Duration: 23 minutes 13 seconds

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Market Regulation Enforcement: Ensuring Market Integrity

Published: Oct. 1, 2019, 11:30 a.m.
Duration: 18 minutes 37 seconds

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The Createathon: Breaking Down Silos and Sparking Innovation

Published: Sept. 17, 2019, 11:30 a.m.
Duration: 27 minutes 11 seconds

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FINRAs Ambassador Abroad: The International Group

Published: Sept. 3, 2019, 11:30 a.m.
Duration: 23 minutes 4 seconds

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Collaboration, Expertise, Innovation and Responsibility: Introducing FINRAs Values

Published: Aug. 20, 2019, noon
Duration: 28 minutes 18 seconds

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Credit For Cooperation: Recognizing Extraordinary Efforts

Published: Aug. 6, 2019, 11:30 a.m.
Duration: 18 minutes 52 seconds

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Financial Capability Study, Part II: Tracking Shifting Currents of Financial Well-Being

Published: July 23, 2019, 11:30 a.m.
Duration: 20 minutes 12 seconds

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Financial Capability Study, Part I: Does a Rising Tide Lift All Boats?

Published: July 9, 2019, 9:30 a.m.
Duration: 19 minutes 44 seconds

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Encore | How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance

Published: June 25, 2019, 4:07 p.m.
Duration: 22 minutes 27 seconds

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DXT: Transforming the Digital Experience of Firms

Published: June 11, 2019, 1:30 p.m.
Duration: 22 minutes 24 seconds

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Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik

Published: May 28, 2019, 1:51 p.m.
Duration: 31 minutes 51 seconds

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Beyond Hollywood, Part II: AML Priorities and Best Practices

Published: May 14, 2019, 1:30 p.m.
Duration: 31 minutes 9 seconds

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Beyond Hollywood: Money Laundering in the Securities Industry

Published: April 30, 2019, 1:35 p.m.
Duration: 25 minutes 36 seconds

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2019 Budget Summary: A Look Behind the Curtain

Published: April 16, 2019, 1:30 p.m.
Duration: 25 minutes 2 seconds

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FINRAs Point Guard: The Central Review Group

Published: April 2, 2019, 1:30 p.m.
Duration: 26 minutes 45 seconds

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Member Relations & Education: Making Regulation Smarter

Published: March 19, 2019, 1:30 p.m.
Duration: 21 minutes 16 seconds

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CRD Transformation: Enhancing the Registration & Disclosure Process

Published: March 5, 2019, 2:30 p.m.
Duration: 18 minutes 32 seconds

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A Look at the FINRA Institute at Georgetown CRCP Program

Published: Feb. 19, 2019, 2:30 p.m.
Duration: 21 minutes 11 seconds

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The Future of RegTech: The Challenges and Opportunities

Published: Feb. 5, 2019, 2:30 p.m.
Duration: 21 minutes 28 seconds

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The Annual Priorities Letter: A Fresh Take

Published: Jan. 22, 2019, 3 p.m.
Duration: 21 minutes 32 seconds

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Behind the Scenes: FINRA's Board of Governors

Published: Jan. 8, 2019, 6:35 p.m.
Duration: 17 minutes 43 seconds

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Bits & Bytes: A Look at Effective Cybersecurity Practices

Published: Dec. 20, 2018, 6 p.m.
Duration: 25 minutes 2 seconds

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Insider Trading: Finding the Needle in the Haystack

Published: Dec. 4, 2018, 2:30 p.m.
Duration: 27 minutes 26 seconds

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Millennials and Money: How to Get Started on the Road to Investing

Published: Nov. 20, 2018, 2:30 p.m.
Duration: 19 minutes 14 seconds

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Member Supervision: Introducing Bari Havlik and the Exam Program Transformation

Published: Nov. 6, 2018, 2:30 p.m.
Duration: 14 minutes 43 seconds

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Cybersecurity Awareness Month: Stay Connected and Protected

Published: Oct. 23, 2018, 1:30 p.m.
Duration: 22 minutes 42 seconds

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Debunked: 7 Myths about Millennialsthe Underinvested Generation

Published: Oct. 9, 2018, 1:30 p.m.
Duration: 19 minutes

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The New SIE Exam: Opening Doors to the Securities Industry

Published: Sept. 25, 2018, 1:30 p.m.
Duration: 23 minutes 13 seconds

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Sharing Data and Strengthening Compliance

Published: Sept. 11, 2018, 1:30 p.m.
Duration: 19 minutes 32 seconds

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How FINRA Rules Get Made (And Reviewed)

Published: Aug. 28, 2018, 1:30 p.m.
Duration: 23 minutes 9 seconds

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Fintech, Regtech & Suptech: Keeping Up with Industry Innovations

Published: Aug. 14, 2018, 1:30 p.m.
Duration: 18 minutes 25 seconds

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Enforcement Guiding Principles

Published: July 31, 2018, 1:30 p.m.
Duration: 20 minutes 53 seconds

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How the Cloud and Machine Learning Have Transformed Market Surveillance

Published: July 17, 2018, 1:30 p.m.
Duration: 22 minutes 19 seconds

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How the Cloud Has Revolutionized FINRA Technology

Published: July 3, 2018, 1:30 p.m.
Duration: 25 minutes 2 seconds

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What is FINRAs Dispute Resolution Forum?

Published: June 19, 2018, 1 p.m.
Duration: 14 minutes 16 seconds

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ERI: Introducing FINRAs Weatherman

Published: June 5, 2018, 2 p.m.
Duration: 21 minutes 9 seconds

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One Enforcement: Introducing FINRAs New Enforcement Team

Published: May 21, 2018, 1 p.m.
Duration: 16 minutes 50 seconds

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The Senior Helpline: Addressing the Unique Needs of Senior Investors

Published: May 1, 2018, midnight
Duration: 20 minutes 15 seconds

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One FINRA: A Commitment to Diversity and Inclusion

Published: April 17, 2018, midnight
Duration: 21 minutes 20 seconds

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Combatting Cybersecurity Threats

Published: Feb. 27, 2018, midnight
Duration: 16 minutes 36 seconds

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A Touch Point for Politicians and Other Regulators: FINRAs Office of Government Affairs

Published: Jan. 30, 2018, midnight
Duration: 17 minutes 21 seconds

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Investing Smarter

Published: Dec. 21, 2017, midnight
Duration: 18 minutes 31 seconds

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FINRA360: Building a Stronger FINRA

Published: Nov. 28, 2017, midnight
Duration: 16 minutes 50 seconds

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Building A More Transparent Organization

Published: Nov. 15, 2017, midnight
Duration: 12 minutes 9 seconds

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What Does FINRAs Chief Economist Do?

Published: Nov. 6, 2017, midnight
Duration: 17 minutes 27 seconds

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