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Compliance Tools |
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July 14, 2008
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
July 1, 2008
June 23, 2008
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
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
June 3, 2008 May 2008 Monthly Recap 9 min. 28 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from May 2008.
May 27, 2008
This podcast describes a recent rule change related to firms' distribution and supervision of third-party research reports.
May 20, 2008
This podcast, the audio version of a webcast developed for the "What to Expect" series, focuses on FINRA's rulemaking process.
May 12, 2008
FINRA staff discuss practices for protecting against "rogue" trading and describe some red flags to help identify it.
Revisit the latest FINRA Notices, compliance resources and news from April 2008.
April 28, 2008 Principal Approval of Sales Material 5 min. 9 sec. | Listen Now/Download
A review of a new exception to the principal approval requirements for some sales material that firms file.
April 22, 2008
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
FINRA's CEO Mary Schapiro talks about the ongoing integration of NASD and NYSE Regulation, including an update on the rulebook consolidation.
April 8, 2008
Methods firms should consider when reviewing electronic correspondence and developing related procedures.
April 3, 2008 March 2008 Monthly Recap 12 min. 24 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from March 2008.
March 25, 2008
March 17, 2008 Electronic Communications: What and Who 7 min. 47 sec. | Listen Now/Download
March 10, 2008 Record Retention Relief 5 min. 28 sec. | Listen Now/Download
February 26, 2008
February 26, 2008
February 19, 2008
February 11, 2008
February 4, 2008 January 2008 Monthly Recap 10 min. 29 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from January 2008.
January 29, 2008
Supervisory Considerations for Working with Seniors
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
This podcast discusses FINRA's Fairness Opinion rule.
The Modern Regulator
FINRA CEO 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
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
Revisit the latest FINRA Notices, compliance resources and news from December 2007.
December 27, 2007
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
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
This podcast examines how "free lunch" seminars are sometimes used to mislead senior investors—and how FINRA is responding.
December 4, 2007
Revisit the latest FINRA Notices, compliance resources and news from November 2007.
November 26, 2007
This podcast focuses on communications considerations that firms and representatives should keep in mind when working with senior customers.
November 19, 2007 This podcast focuses on suitability considerations that firms and representatives should keep in mind when working with senior customers.
November 15, 2007 9 min. 28 sec. | Listen Now/Download
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 9 min. 51 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from October 2007.
October 31, 2007
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
This podcast presents FINRA's top examination priorities and ways firms can avoid common exam-related pitfalls.
October 16, 2007
This podcast outlines a new, voluntary partnership program that helps firms provide service to their customers during an emergency.
October 11, 2007
This podcast is an audio recording of FINRA CEO Mary Schapiro's speech at the 2007 Fall Securities Conference.
October 11, 2007
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
This podcast is an audio recording of FINRA Senior Executive Vice President of Regulatory Policy & Programs Elisse Walter's speech at the 2007 Fall Securities Conference.
October 9, 2007
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 7 min. 41 sec. | Listen Now/Download
October 3, 2007 8 min. 44 sec. | Listen Now/Download
FINRA CEO Mary Schapiro discusses the many challenges small firms face—and what FINRA is doing to help.
September 5, 2007 8 min. 35 sec. | Listen Now/Download
Revisit the latest Notices, compliance resources and news from August 2007.
August 17, 2007
This podcast is an audio recording of the OATS for OTC Equity Securities Second Educational Teleconference held on August 15, 2007.
August 2, 2007
Revisit the latest Notices to Members, compliance resources and news from July 2007.
July 6, 2007 NASD June 2007 Recap 11 min. 3 sec. | Listen Now/Download
Revisit the latest Notices to Members, compliance resources and news from June 2007.
July 5, 2007
This podcast provides an overview of the new interpretation of the rule that guides pricing of debt securities, except municipal securities.
June 27, 2007
May 25, 2007
May 11, 2007
May 10, 2007
April 23, 2007
April 17, 2007
April 12, 2007
March 27, 2007
February 1, 2007
January 26, 2007
January 3, 2007
December 14, 2006 Structured Products: Definition and Guidance 7 min. 56 sec. | Listen Now/Download
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 10 min. 18 sec. | Listen Now/Download
This podcast provides an overview of NASD guidance on private placements of tenants-in-common interests in real property offerings.
October 10, 2006 What to Expect: Filing Communications for NASD Review 18 min. 20 sec. | Listen Now/Download
This podcast, the audio version of the second installment in the "What to Expect" webcast series, explains in plain English what to expect when filing communications with NASD's Advertising Regulation department.
September 18, 2006 ACATS: Task Force Recommendations 14 min. 35 sec. | Listen Now/Download
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 9 min. 12 sec. | Listen Now/Download
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 8 min. 10 sec. | Listen Now/Download
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 5 min. 22 sec. | Listen Now/Download
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 7 min. 12 sec. | Listen Now/Download
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.
Anti-Money Laundering: Independent Testing 6 min. 20 sec. | Listen Now/Download
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
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, nor reference them in any publication, without the express written consent of FINRA. Music provided by the Podsafe Music Network (http://music.podshow.com).
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