Podcasts

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.

How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance

July 16, 2018

In episode 12 we sat down with Steve Randich and learned how the cloud provides FINRA with the storage space and computing power to process up to 101 billion market events in a single day. Today, we sit down with FINRA’s head of Market Regulation and Transparency Services, Tom Gira, to hear how the cloud and machine learning enable his team to more efficiently and effectively sift through this massive amount of data to detect misconduct.

How the Cloud Has Revolutionized FINRA Technology

July 3, 2018

FINRA now has more than 30 petabytes of data in the cloud—to put that into the context of MP3 music files that would be about 60 million years of easy listening. In this episode, FINRA’s Chief Information Officer Steve Randich joins us to discuss how the use of the cloud has fundamentally changed FINRA’s technology strategy.

What is FINRA’s Dispute Resolution forum?

June 19, 2018

What is FINRA’s Dispute Resolution forum? How might I end up with a case in arbitration or mediation? What does the process look like? FINRA’s Head of Dispute Resolution, Rick Berry, answers these questions and more in this episode of FINRA Unscripted.

ERI: Introducing FINRA’s Weatherman

June 5, 2018

FINRA can’t predict the future, but like a weatherman, it can make predictions based on circumstances that exist today. FINRA’s Office of Emerging Regulatory Issues (ERI) looks to predict what storms may be brewing in the securities market and what areas they are likely to impact.

One Enforcement: Introducing FINRA’s New Enforcement Team

May 21, 2018

Consistency and foreseeability: that’s what any regulator strives for. But when FINRA CEO Robert Cook asked around, he heard that wasn’t always the case—particularly when it came to two different enforcement teams. That’s why FINRA’s Susan Schroeder has taken on the task of bring together these two teams into One Enforcement. Here’s how she’s doing it.

FINRA’s Senior Helpline: Addressing the Unique Needs of Senior Investors

May 1, 2018

Senior investors may have unique needs that elevate the need for expedited attention with securities brokerage concerns. For three years, FINRA’s Securities Helpline for Seniors has been working to address those needs. Here’s how.

One FINRA: An Organization’s Commitment to Diversity and Inclusion

April 17, 2018

Diversity and inclusion are good for business. The financial services industry may not be known for its diverse workforce or inclusive culture, but FINRA is aiming to change that perception. Hear FINRA leaders share strategies and actions you can take to drive a more diverse and inclusive workplace.

Combatting Cybersecurity Threats

February 27, 2018

From banking and investing to social media and shopping, the internet is an essential part of our daily lives. That means cybersecurity is more important than ever. That is particularly true for FINRA, which can process up to 99 billion records in a single day. Here, John Brady explains how FINRA stays cyber secure.

A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs

January 30, 2018

We don't get involved in politics or elections, we don't have a PAC, but we do have an office of Government Affairs. In the latest FINRA Unscripted, Greg Dean talks about how his team serve as a touch point for politicians and other state and federal regulators

Investing Smarter

December 21, 2017

Do you have student loan debt? If you do, you’re not alone. Almost 70 percent of students graduate with student debt—and many entering the job market in debt are unprepared to manage their own finances. That was the case for Gerri Walsh. Gerri now leads FINRA’s investor education efforts and is here today to help make us all smarter investors.