| Recent Podcasts |
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May 5, 2008
April 2008 Monthly Recap 
12 min. 14 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from April 2008.
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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.
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April 22, 2008
Preparing for a FINRA Cycle Examination
17 min. 49 sec. | Listen Now/Download
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.
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April 14, 2008
Consolidation Update
5 min. 36 sec. | Listen Now/Download
FINRA's CEO Mary Schapiro talks about the ongoing integration of NASD and NYSE Regulation, including an update on the rulebook consolidation.
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April 8, 2008
Electronic Communications: Reviewing Correspondence
8 min. 39 sec. | Listen Now/Download
Methods firms should consider when reviewing electronic correspondence and developing related procedures.
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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.
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March 25, 2008
Rulebook Consolidation Process
5 min. 16 sec. | Listen Now/Download
This podcast explains the process for FINRA's rulebook consolidation and what firms can expect from it.
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March 17, 2008
Electronic Communications: What and Who
7 min. 47 sec. | Listen Now/Download
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.
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March 10, 2008
Record Retention Relief
5 min. 28 sec. | Listen Now/Download
This podcast explains how firms can now rely on Web CRD to satisfy requirements to retain records of certain forms.
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March 3, 2008
February 2008 Monthly Recap
10 min. 10 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from February 2008.
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February 26, 2008
Variable Annuities: Requirements for Supervisors
9 min. 18 sec. | Listen Now/Download
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.
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February 26, 2008
Variable Annuities: Requirements for Representatives
9 min. 51 sec. | Listen Now/Download
Registered Representatives' responsibilities when recommending variable annuities are the focus of this podcast, the audio version of a webcast for frontline staff.
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February 19, 2008
Electronic Communications: Introduction to Supervision
4 min. 33 sec. | Listen Now/Download
This podcast presents guidance on designing procedures for reviewing electronic communications.
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February 11, 2008
Protecting Senior Investors
6 min. 10 sec. | Listen Now/Download
FINRA CEO Mary Schapiro discusses one of FINRA's top priorities: protecting senior investors from fraud.
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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.
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