FINRA Compliance Podcasts
FINRA podcasts are short online audio recordings produced to provide a quick, easy way to stay on top of important regulatory information, news and other topics. Released on a weekly basis, FINRA podcasts offer information on specific topics to help clarify certain compliance issues that firms find most challenging. Please note that you do not need a portable digital media player to listen to podcasts.
November 16, 2009
Changes to Two of the Securities Industry's Regulatory Element Continuing Education Programs (S101/S106) 
Listen Now/Download | 5 min. 23 sec.
This podcast covers upcoming changes to two Continuing Education Regulatory Element Programs: the S101 and the S106.
November 9, 2009
Deferred Variable Annuities
Listen Now/Download | 7 min. 9 sec.
A discussion of FINRA's rule governing recommended purchases and exchanges of deferred variable annuities.
November 2, 2009
October 2009 Monthly Recap
Listen Now/Download | 11 min. 54 sec.
Revisit the latest FINRA Notices, compliance resources and news from October 2009.
October 26, 2009
Investment Banking Representative
Listen Now/Download | 7 min. 31 sec.
This podcast introduces a new registration category that describes people who supervise or perform investment banking activities.
October 19, 2009
Quarterly Disciplinary Review – October 2009 Issue
Listen Now/Download | 7 min. 35 sec.
FINRA staff discuss examples of registered representatives’ misconduct, as featured in the October issue of FINRA's Quarterly Disciplinary Review.
October 12, 2009
FINRA Rulebook Consolidation
Listen Now/Download | 6 min. 44 sec.
FINRA staff discuss new rules that the SEC recently approved for inclusion in the consolidated FINRA Rulebook.
October 5, 2009
September 2009 Monthly Recap
Listen Now/Download | 9 min. 36 sec.
Revisit the latest FINRA Notices, compliance resources and news from September 2009.
September 28, 2009
Continuing Membership Applications – Part III
Listen Now/Download | 6 min. 52 sec.
The final podcast in the three-part series on continuing membership applications describes what occurs after a firm submits one to FINRA.
September 21, 2009
Uniform Forms Electronic Filing Requirements
Listen Now/Download | 7 min. 10 sec.
FINRA staff discuss a consolidated rule on electronic filing requirements for uniform forms and related supervision requirements.
September 14, 2009
Continuing Membership Applications – Part II
Listen Now/Download | 5 min. 7 sec.
The second of three podcasts on continuing membership applications explains how to submit one to FINRA.
September 8, 2009
Anti-Money Laundering: Due Diligence for Private Banking Accounts
Listen Now/Download | 9 min. 16 sec.
This podcast, the audio version of a FINRA webcast, describes anti-money laundering due diligence requirements for working with private banking clients.
September 1, 2009
August 2009 Monthly Recap
Listen Now/Download | 14 min. 23 sec.
Revisit the latest FINRA Notices, compliance resources and news from August 2009.
August 24, 2009
Continuing Membership Applications – Part 1
Listen Now/Download | 9 min.
The first podcast in a three-part series on continuing membership applications, or CMAs, discusses what events might trigger a firm to file a CMA.
August 17, 2009
Quarterly Disciplinary Review – July 2009 Issue
Listen Now/Download | 6 min. 58 sec.
FINRA staff discuss examples of registered representatives’ misconduct, as featured in the July issue of FINRA's Quarterly Disciplinary Review.
August 10, 2009
FINRA Rulebook Consolidation
Listen Now/Download | 6 min. 29 sec.
This podcast includes a discussion of eight new FINRA rules that become effective on August 17, 2009.
August 3, 2009
July 2009 Monthly Recap
Listen Now/Download | 16 min. 15 sec.
Revisit the latest FINRA Notices, compliance resources and news from July 2009.
July 29, 2009
Regulatory Reform
Listen Now/Download | 11 min. 2 sec.
FINRA Chairman and CEO Rick Ketchum discusses regulatory reform and why independent regulation is more relevant than ever.
July 27, 2009
FTC's Red Flags Rule Template
Listen Now/Download | 7 min. 29 sec.
FINRA staff discuss the FTC's Red Flags Rule and introduce a new template that firms can use to set up an identity theft prevention program.
Note: FTC enforcement of FACT Act Red Flags Rule has been delayed to June 1, 2010.
July 20, 2009
Anti-Money Laundering – Institutional: Due Diligence for Foreign Correspondent Accounts
Listen Now/Download | 14 min. 29 sec.
This podcast, the audio version of a FINRA webcast, describes anti-money laundering due diligence requirements for working with foreign correspondent accounts.
July 13, 2009
Non-Traditional Exchange-Traded Funds
Listen Now/Download | 9 min. 10 sec.
FINRA staff discuss sales practice obligations relating to non-traditional exchange-traded funds, known as ETFs.
July 6, 2009
2009 FINRA Examination Priorities: Part 5
Listen Now/Download | 9 min. 7 sec.
The final installment of this five-part series focuses on priorities related to financial and operational compliance, and how they relate to clearing, carrying and all other firms.
July 1, 2009
June 2009 Monthly Recap
Listen Now/Download | 11 min. 50 sec.
Revisit the latest FINRA Notices, compliance resources and news from June 2009.
June 22, 2009
2009 FINRA Examination Priorities: Part 4
Listen Now/Download | 7 min. 42 sec.
This podcast, the fourth in a five-part series on examination priorities, focuses on market regulation topics.
June 15, 2009
Unregistered Resales of Restricted Securities
Listen Now/Download | 13 min. 21 sec.
FINRA staff discuss firms' responsibilities when participating in unregistered resales of restricted securities.
June 8, 2009
2009 FINRA Examination Priorities: Part 3
Listen Now/Download | 4 min. 40 sec.
Part three of this five-part series on examination priorities focuses on product-related sales practice priorities.
June 2, 2009
May 2009 Monthly Recap
Listen Now/Download | 9 min. 1 sec.
Revisit the latest FINRA Notices, compliance resources and news from May 2009.
May 26, 2009
FINRA Rulebook Consolidation
Listen Now/Download | 5 min. 56 sec.
This podcast includes a discussion of three new FINRA rules that become effective on June 15, 2009.
May 18, 2009
MSRB Supervision Rules
Listen Now/Download | 15 min. 40 sec.
This podcast, the audio version of a FINRA webcast, provides an overview of municipal securities supervision requirements.
May 11, 2009
2009 FINRA Examination Priorities: Part 2
Listen Now/Download | 10 min. 34 sec.
This podcast, the second in a five-part series on examination priorities, focuses on supervision, anti-money laundering and data protection.
May 4, 2009
April 2009 Monthly Recap
Listen Now/Download | 13 min. 5 sec.
Revisit the latest FINRA Notices, compliance resources and news from April 2009.
April 27, 2009
2009 FINRA Examination Priorities: Part 1
Listen Now/Download | 8 min. 40 sec.
This podcast, the first in a five-part series on examination priorities, includes both general concerns due to current market conditions and specific areas of focus for FINRA.
April 21, 2009
Compliance and Regulatory Challenges
Listen Now/Download | 10 min. 2 sec.
FINRA Chairman and CEO Rick Ketchum shares his observations on the current state of the industry, and discusses challenges facing firms and regulators.
April 13, 2009
FACT Act Red Flags Rule
Listen Now/Download | 8 min.
FINRA staff discuss the FTC's Red Flags Rule, a regulation under the FACT Act of 2003 that requires certain firms to set up and implement a written identity theft prevention program.
Note: FTC enforcement of the Red Flags Rule begins November 1, 2009.
April 6, 2009
Trading Ahead of Research Reports
Listen Now/Download | 4 min. 14 sec.
A description of FINRA's Trading Ahead of Research Reports rule (FINRA Rule 5280), effective April 20, 2009.
April 2, 2009
March 2009 Monthly Recap
Listen Now/Download | 15 min. 54 sec.
Revisit the latest FINRA Notices, compliance resources and news from March 2009.
March 23, 2009
FINRA Educational Programs
Listen Now/Download | 9 min. 22 sec.
This podcast presents an overview of FINRA's compliance education and training programs for firms and their employees.
March 16, 2009
Cash Alternatives
Listen Now/Download | 8 min. 4 sec.
FINRA staff discuss sales practice obligations relating to investments sold as an alternative to cash.
March 10, 2009
Electronic Communications: Social Networking Web Sites
Listen Now/Download | 6 min. 11 sec.
This podcast, the last in a three-part series on supervising electronic communications, discusses how registered representatives' use of social networking Web sites to communicate firm business relates to FINRA's rules regarding communications with the public.
March 3, 2009
February 2009 Monthly Recap
Listen Now/Download | 12 min. 8 sec.
Revisit the latest FINRA Notices, compliance resources and news from February 2009.
February 23, 2009
Electronic Communications: Blogs, Bulletin Boards and Chat Rooms
Listen Now/Download | 6 min. 2 sec.
This podcast, the second of three on supervising electronic communications, discusses the application of FINRA's communication with the public rules for blogs, bulletin boards and chat rooms.
February 17, 2009
High Yield Environment Instruments
Listen Now/Download | 4 min. 36 sec.
FINRA staff discuss firms' obligations related to the sale of bond funds, corporate bonds, structured products and non-conventional instruments in a high-yield environment.
February 9, 2009
Electronic Communications: Web Sites
Listen Now/Download | 7 min. 43 sec.
This podcast, the first of three on electronic communications, offers suggestions for supervising employee use of Web sites and explains how FINRA's rules relate to this activity.
February 3, 2009
January 2009 Monthly Recap
Listen Now/Download | 13 min. 33 sec.
Revisit the latest FINRA Notices, compliance resources and news from January 2009.
January 26, 2009
New Account Application Template
Listen Now/Download | 4 min. 33 sec.
This podcast focuses on FINRA's New Account Application Template, a voluntary resource to help firms design and update brokerage applications.
January 21, 2009
Letters of Authorization
Listen Now/Download | 8 min. 55 sec.
FINRA staff define letters of authorization, and discuss how they are used and how firms can supervise them.
January 12, 2009
Special Purpose Acquisition Companies (SPACs)
Listen Now/Download | 9 min. 35 sec.
This podcast describes SPACs, explains how they work and highlights details to review before recommending them to customers.
January 6, 2009
December 2008 Monthly Recap
Listen Now/Download | 13 min. 35 sec.
Revisit the latest FINRA Notices, compliance resources and news from December 2008.
December 22, 2008
FINRA Coordinator
Listen Now/Download | 4 min. 55 sec.
A discussion on FINRA's Coordinator Program, which provides firms with a dedicated point-of-contact for regulatory inquiries.
December 15, 2008
Annual Audit
Listen Now/Download | 11 min. 39 sec.
FINRA staff discuss requirements for filing a certified annual audit report, pursuant to SEC Rule 17a-5.
December 8, 2008
FINRA's Dispute Resolution Process
Listen Now/Download | 23 min. 34 sec.
This podcast explains in plain English what to expect when settling disputes through FINRA’s arbitration and mediation programs.
December 2, 2008
November 2008 Monthly Recap
Listen Now/Download | 9 min. 7 sec.
Revisit the latest FINRA Notices, compliance resources and news from November 2008.
November 24, 2008
AML Law Enforcement Requests
Listen Now/Download | 8 min. 55 sec.
This podcast discusses a firm's anti-money laundering obligations when responding to information requests from law enforcement agencies.
November 17, 2008
Life of an Equity Trade
Listen Now/Download | 11 min. 57 sec.
This podcast, the audio version of a FINRA webcast, provides an overview of the equity trading process.
November 10, 2008
Managing Risk in Today's Market
Listen Now/Download | 10 min. 44 sec.
Grace Vogel, FINRA's EVP of Member Regulation, discusses managing risk in today's market.
November 4, 2008
October 2008 Monthly Recap
Listen Now/Download | 17 min. 16 sec.
Revisit the latest FINRA Notices, compliance resources and news from October 2008.
October 27, 2008
Rulebook Consolidation Process
Listen Now/Download | 6 min. 11 sec.
FINRA staff discuss the process for announcing approval of rules and their effective dates as they are incorporated into the FINRA Rulebook.
October 23, 2008
Mary Schapiro's Speech at the Fall Securities Conference
Listen Now/Download | 19 min. 33 sec.
An audio recording of Mary Schapiro's speech at the 2008 Fall Securities Conference
October 20, 2008
Structured Products
Listen Now/Download | 12 min. 26 sec.
This podcast, the audio version of a FINRA webcast, focuses on structured products and the features in these products that may not be easily understood by registered representatives.
October 6, 2008
September 2008 Monthly Recap
Listen Now/Download | 12 min. 26 sec.
Revisit the latest FINRA Notices, compliance resources and news from September 2008.
September 29, 2008
Conflicts of Interest
Listen Now/Download | 6 min. 38 sec.
This podcast, the audio version of a FINRA webcast, focuses on how to identify and handle many conflicts of interest that can occur in the securities industry.
September 22, 2008
FINRA Firm Gateway
Listen Now/Download | 4 min. 7 sec.
FINRA staff discuss the Firm Gateway, an online compliance tool that provides consolidated access to FINRA applications and timely firm-focused information.
September 15, 2008
Filing Communications for FINRA Review
Listen Now/Download | 18 min. 56 sec.
This podcast explains in plain English what to expect when filing communications with FINRA's Advertising Regulation department.
September 9, 2008
Public Offerings of DPPs and REITs
Listen Now/Download | 14 min. 28 sec.
FINRA staff members discuss new amendments to FINRA's rule on direct participation programs and real estate investment trusts.
August 29, 2008
August 2008 Monthly Recap
Listen Now/Download | 11 min. 02 sec.
Revisit the latest FINRA Notices, compliance resources and news from August 2008.
August 25, 2008
Private Placements
Listen Now/Download | 11 min. 36 sec.
This podcast, the audio version of a FINRA webcast, discusses private and public securities offerings that do not require registration under federal securities laws.
August 18, 2008
Improving Exam Results - Part 2
Listen Now/Download | 10 min. 06 sec.
This podcast is the second in a two-part series on improving examination results.
August 11, 2008
Improving Exam Results - Part 1
Listen Now/Download | 10 min. 23 sec.
This podcast is the first in a two-part series on improving examination results.
August 4, 2008
July 2008 Monthly Recap
Listen Now/Download | 12 min. 48 sec.
Revisit the latest FINRA Notices, compliance resources and news from July 2008.
July 28, 2008
Debt Mark-ups
Listen Now/Download | 9 min. 25 sec.
This podcast, the audio version of a FINRA webcast, focuses on the rule that guides pricing of debt securities and a related interpretation.
July 21, 2008
Variable Annuities
Listen Now/Download | 9 min. 11 sec.
FINRA Chief of Enforcement Susan Merrill discusses variable annuities.
July 14, 2008
AML - Customer Identification Program (Part 2)
Listen Now/Download | 6 min. 33 sec.
This podcast is the second in a two-part series on the essential elements of the Customer Identification Program, an AML requirement.
July 7, 2008
Anti-Money Laundering for Operations Staff
Listen Now/Download | 10 min. 37 sec.
This podcast, the audio version of a FINRA webcast, is an overview of AML responsibilities geared toward operations staff.
July 1, 2008
June 2008 Monthly Recap
Listen Now/Download | 8 min. 34 sec.
Revisit the latest FINRA Notices, compliance resources and news from June 2008.
June 23, 2008
Anti-Money Laundering—Institutional: Know Your Customer
Listen Now/Download | 10 min. 30 sec.
This podcast, the audio version of a FINRA webcast, focuses on Anti-Money Laundering compliance for firms that work with institutional clients.
June 16, 2008
AML - Customer Identification Program (Part 1)
Listen Now/Download | 7 min. 46 sec.
This podcast is the first in a two-part series on the essential elements of the Customer Identification Program, an AML requirement.
June 9, 2008
Foreign Research Analyst Exemption
Listen Now/Download | 3 min. 46 sec.
FINRA staff discuss a new exemption from the Research Analyst Qualification Exam for foreign research analysts.
June 3, 2008
May 2008 Monthly Recap
Listen Now/Download | 9 min. 28 sec.
Revisit the latest FINRA Notices, compliance resources and news from May 2008.
May 27, 2008
Third-Party Research Reports
Listen Now/Download | 4 min. 35 sec.
This podcast describes a recent rule change related to firms' distribution and supervision of third-party research reports.
May 20, 2008
The FINRA Rulemaking Process
Listen Now/Download | 10 min. 55 sec.
This podcast, the audio version of a webcast developed for the "What to Expect" series, focuses on FINRA's rulemaking process.
May 12, 2008
Unauthorized Proprietary Trading
Listen Now/Download | 8 min. 38 sec.
FINRA staff discuss practices for protecting against "rogue" trading and describe some red flags to help identify it.
May 5, 2008
April 2008 Monthly Recap
Listen Now/Download | 12 min. 14 sec.
Revisit the latest FINRA Notices, compliance resources and news from April 2008.
April 28, 2008
Principal Approval of Sales Material
Listen Now/Download | 5 min. 9 sec.
A review of a new exception to the principal approval requirements for some sales material that firms file.
April 22, 2008
Preparing for a FINRA Cycle Examination
Listen Now/Download | 17 min. 49 sec.
This podcast, the audio version of a webcast developed for the "What to Expect" series, focuses on what firms should expect during the cycle examination process and how they can prepare.
April 14, 2008
Consolidation Update
Listen Now/Download | 5 min. 36 sec.
Mary Schapiro talks about the ongoing integration of NASD and NYSE Regulation, including an update on the rulebook consolidation.
April 8, 2008
Electronic Communications: Reviewing Correspondence
Listen Now/Download | 8 min. 39 sec.
Methods firms should consider when reviewing electronic correspondence and developing related procedures.
April 3, 2008
March 2008 Monthly Recap
Listen Now/Download | 12 min. 24 sec.
Revisit the latest FINRA Notices, compliance resources and news from March 2008.
March 25, 2008
Rulebook Consolidation Process
Listen Now/Download | 5 min. 16 sec.
This podcast explains the process for FINRA's rulebook consolidation and what firms can expect from it.
March 17, 2008
Electronic Communications: What and Who
Listen Now/Download | 7 min. 47 sec.
This podcast presents guidance on what electronic communications your firm's policies and procedures will permit employees to use and who will be responsible for supervisory review.
March 10, 2008
Record Retention Relief
Listen Now/Download | 5 min. 28 sec.
This podcast explains how firms can now rely on Web CRD to satisfy requirements to retain records of certain forms.
March 3, 2008
February 2008 Monthly Recap
Listen Now/Download | 10 min. 10 sec.
Revisit the latest FINRA Notices, compliance resources and news from February 2008.
February 26, 2008
Variable Annuities: Requirements for Supervisors
Listen Now/Download | 9 min. 18 sec.
A FINRA staff member discusses considerations for supervising recommendations of deferred variable annuity transactions in this podcast, the audio version of a webcast for supervisors.
February 26, 2008
Variable Annuities: Requirements for Representatives
Listen Now/Download | 9 min. 51 sec.
Registered Representatives' responsibilities when recommending variable annuities are the focus of this podcast, the audio version of a webcast for frontline staff.
February 19, 2008
Electronic Communications: Introduction to Supervision
Listen Now/Download | 4 min. 33 sec.
This podcast presents guidance on designing procedures for reviewing electronic communications.
February 11, 2008
Protecting Senior Investors
Listen Now/Download | 6 min. 10 sec.
Mary Schapiro discusses one of FINRA's top priorities: protecting senior investors from fraud.
February 4, 2008
January 2008 Monthly Recap
Listen Now/Download | 10 min. 29 sec.
Revisit the latest FINRA Notices, compliance resources and news from January 2008.
January 29, 2008
Supervisory Considerations for Working with Seniors
Listen Now/Download | 12 min. 35 sec.
This podcast, the audio version of the latest FINRA webcast, describes what to be aware of when supervising sales to seniors.
January 22, 2008
Fairness Opinion
Listen Now/Download | 5 min. 8 sec.
This podcast discusses FINRA's Fairness Opinion rule.
January 14, 2008
The Modern Regulator
Listen Now/Download | 7 min. 23 sec.
Mary Schapiro discusses what it means for FINRA to be a modern regulator.
January 8, 2008
What to Expect: Anti-Money Laundering Reviews During Routine Exams
Listen Now/Download | 20 min. 54 sec.
This podcast, the audio version of a webcast developed for the "What to Expect" series, focuses on the Anti-Money Laundering reviews conducted during FINRA's routine examinations.
January 3, 2008
December 2007 Monthly Recap
Listen Now/Download | 13 min. 40 sec.
Revisit the latest FINRA Notices, compliance resources and news from December 2007.
December 27, 2007
Considerations for Working with Seniors: Diminishing Capacity and Suspected Financial Abuse
Listen Now/Download | 6 min. 44 sec.
This podcast discusses the sensitive issues of working with customers who show signs of diminishing mental capacity and responding to suspected financial abuse.
December 18, 2007
Business Gifts
Listen Now/Download | 9 min. 27 sec.
This podcast, the audio version of a webcast developed for Frontline Staff, discusses a registered representative's responsibilities when giving business gifts.
December 10, 2007
Considerations for Working with Seniors: Free Lunch Seminars
Listen Now/Download | 3 min. 55 sec.
This podcast examines how "free lunch" seminars are sometimes used to mislead senior investors—and how FINRA is responding.
December 4, 2007
November 2007 Monthly Recap
Listen Now/Download | 14 min. 10 sec.
Revisit the latest FINRA Notices, compliance resources and news from November 2007.
November 26, 2007
Considerations for Working with Seniors: Communications
Listen Now/Download | 4 min. 26 sec.
This podcast focuses on communications considerations that firms and representatives should keep in mind when working with senior customers.
November 19, 2007
Considerations for Working with Seniors: Suitability
Listen Now/Download | 7 min. 5 sec.
This podcast focuses on suitability considerations that firms and representatives should keep in mind when working with senior customers.
November 15, 2007
Suitability Issues: Considerations for Product Exchanges
Listen Now/Download | 9 min. 28 sec.
This podcast, the audio version of a webcast developed for Frontline Staff, emphasizes the importance of establishing suitability when recommending that a client exchange products.
November 2, 2007
October 2007 Monthly Recap
Listen Now/Download | 9 min. 51 sec.
Revisit the latest FINRA Notices, compliance resources and news from October 2007.
October 31, 2007
Suitability Issues: An Institutional Focus
Listen Now/Download | 11 min. 31 sec.
This podcast, the audio version of a webcast developed for Frontline Staff, explains procedures a registered representative should follow when determining the suitability of a recommendation made to an institutional customer.
October 23, 2007
Improving Examination Results
Listen Now/Download | 10 min. 6 sec.
This podcast presents FINRA's top examination priorities and ways firms can avoid common exam-related pitfalls.
October 16, 2007
Small Firm Emergency Partner Program
Listen Now/Download | 8 min. 52 sec.
This podcast outlines a new, voluntary partnership program that helps firms provide service to their customers during an emergency.
October 11, 2007
Mary Schapiro's Speech at the 2007 Fall Securities Conference
Listen Now/Download | 22 min. 24 sec.
This podcast is an audio recording of Mary Schapiro's speech at the 2007 Fall Securities Conference.
October 11, 2007
Considerations for Working with Seniors
Listen Now/Download | 12 min. 43 sec.
This podcast, the audio version a webcast developed for Frontline Staff, reviews considerations a registered representative should employ when interacting with a senior customer.
October 11, 2007
Elisse Walter's Speech at the 2007 Fall Securities Conference
Listen Now/Download | 13 min. 4 sec.
This podcast is an audio recording of Elisse Walter's speech at the 2007 Fall Securities Conference.
October 9, 2007
Outside Business Activities & Private Security Transactions
Listen Now/Download | 12 min. 2 sec.
This podcast, the audio version of a webcast developed for Frontline Staff, explains guidelines that a representative should follow when engaging in any business activity that is not part of his or her work for the firm.
October 5, 2007
September 2007 Monthly Recap
Listen Now/Download | 7 min. 41 sec.
October 3, 2007
Small Firm Initiatives
Listen Now/Download | 8 min. 44 sec.
Mary Schapiro discusses the many challenges small firms face—and what FINRA is doing to help.
September 5, 2007
New Podcast: August 2007 Recap
Listen Now/Download | 8 min. 35 sec.
Revisit the latest Notices, compliance resources and news from August 2007.
August 17, 2007
OATS for OTC Equity Securities Educational Teleconference
Listen Now/Download | 15 min. 35 sec.
This podcast is an audio recording of the OATS for OTC Equity Securities Second Educational Teleconference held on August 15, 2007.
August 2, 2007
New Podcast: July 2007 Recap
Listen Now/Download | 7 min. 25 sec.
Revisit the latest Notices to Members, compliance resources and news from July 2007.
July 6, 2007
NASD June 2007 Recap
Listen Now/Download | 11 min. 3 sec.
Revisit the latest Notices to Members, compliance resources and news from June 2007.
July 5, 2007
Debt Securities Mark-Up Interpretation
Listen Now/Download | 7 min. 55 sec.
This podcast provides an overview of the new interpretation of the rule that guides pricing of debt securities, except municipal securities.
June 27, 2007
Municipal and TRACE Transaction Reporting Teleconference
Listen Now/Download | 1 hr. 19 min. 18 sec.
This podcast is an audio recording of the Municipal and TRACE Transaction Reporting Teleconference from June 20, 2007.
May 25, 2007
Doug Shulman's Speech at the 2007 Spring Securities Conference
Listen Now/Download | 29 min. 40 sec.
This podcast is an audio recording of Doug Shulman's speech at the 2007 Spring Securities Conference.
May 10, 2007
Books and Records
Listen Now/Download | 15 min. 8 sec.
This podcast, the audio version of the latest webcast developed for Frontline Staff, discusses what registered representatives need to know to meet their books and records obligations for new account forms and order tickets.
April 23, 2007
What to Expect: The U4 and U5 Filing Process
Listen Now/Download | 18 min. 28 sec.
This podcast, the audio version of the latest webcast developed for the "What to Expect" series, focuses on the process for submitting Form U4 and Form U5 filings.
April 17, 2007
Supervision of Recommendations after a Registered Representative Changes Firms
Listen Now/Download | 5 min. 56 sec.
This podcast discusses issues to consider when supervising newly hired registered representatives with an existing book of business.
April 12, 2007
Anti-Money Laundering: Examples of Red Flags
Listen Now/Download | 16 min. 29 sec.
This podcast reviews important issues surrounding identification and reporting of money laundering activity.
March 27, 2007
Life Settlements
Listen Now/Download | 12 min. 34 sec.
This podcast discusses issues and concerns surrounding the sale of an existing variable life insurance policy to a third party - also known as life settlements.
March 13, 2007
What to Expect: Filing a Continuing Membership Application
Listen Now/Download | 22 min. 52 sec.
This podcast focuses on the process for filing Continuing Membership Applications.
February 1, 2007
Business Continuity Planning: Recent Survey Findings
Listen Now/Download | 10 min. 31 sec.
This podcast provides an overview of findings from a recent survey NASD conducted on the effectiveness of Business Continuity Plans used by members during Hurricanes Katrina and Rita.
January 26, 2007
OATS for OTC Equity Securities Educational Telephone Conference
Listen Now/Download | 17 min. 25 sec.
This podcast is the recording of an educational telephone conference held by NASD on Wednesday, January 24, 2007. The call discussed the expansion of the OATS Rules to OTC Equity Securities.
January 3, 2007
Mary Schapiro on NASD/NYSE Regulatory Consolidation
Listen Now/Download | 14 min. 12 sec.
If you were unable to attend one of the Regulatory Consolidation member meetings NASD hosted across the country last month, we are providing this podcast to make sure you get the facts about the plan. A webcast is also available.
December 14, 2006
Structured Products: Definition and Guidance
Listen Now/Download | 7 min. 56 sec.
This podcast defines what structured products are and discusses related guidance presented in Notice to Members 05-59.
November 13, 2006
Regulatory Responsibilities in the Sale of TICs
Listen Now/Download | 10 min. 18 sec.
This podcast provides an overview of NASD guidance on private placements of tenants-in-common interests in real property offerings.
September 18, 2006
ACATS: Task Force Recommendations
Listen Now/Download | 14 min. 35 sec.
This podcast summarizes task force recommendations on transfers of customer accounts from one brokerage firm to another through the Automated Customer Account Transfer System (ACATS).
September 18, 2006
Life Settlements
Listen Now/Download | 9 min. 12 sec.
This podcast discusses variable life settlements and presents an overview of the information presented in Notice to Members 06-38.
August 22, 2006
Equity Indexed Annuities
Listen Now/Download | 8 min. 10 sec.
This podcast discusses important compliance issues surrounding the definition and sale of Indexed Annuities, as explained in Notice to Members 05-50.
July 17, 2006
Outsourcing Activities to Third-Party Service Providers
Listen Now/Download | 5 min. 22 sec.
This podcast provides an overview of a firm's regulatory responsibilities when outsourcing activities to third-party service providers.
June 20, 2006
Understanding Supervisory Controls
Listen Now/Download | 7 min. 12 sec.
This podcast addresses some commonly asked questions about NASD Rule 3012, such as who is considered a producing manager, who can conduct supervisory reviews, the “limited size and resources” exception and principal review.
May 18, 2006
Anti-Money Laundering: Independent Testing
Listen Now/Download | 6 min. 20 sec.
This podcast provides key highlights of a recent amendment to Rule 3011, which requires firms to establish independent testing of their AML program. Related Resources: AML Issue Center, Notice to Members 06-07
May 18, 2006
The New Branch Office Definition and Registration
Listen Now/Download | 7 min. 47 sec.
Last fall NASD and the NYSE amended their definitions of "branch office" to provide a new, uniform industry definition. This podcast addresses common questions about the new definition and related filing requirements. Related Resources: Branch Office FAQ, Notice to Members 06-12
Please note: FINRA's Podcasts are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the Podcasts does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. This Podcast is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce these podcasts in any form without the express written consent of FINRA. Some music provided by the Podsafe Music Network (http://music.podshow.com).
