Podcasts: FINRA Unscripted
The 1920s was a period of great change and transition and the 2020s are shaping up to be the same—at least for FINRA’s Examination and Risk Monitoring program. On this episode, we kick off the new Roaring 20s with a look at what to expect from the program in the year ahead.
FINRA’s examination and risk monitoring program is in the midst of a large-scale transformation to make FINRA a more effective, agile and risk-focused regulator. On this episode, Executive Vice President Bari Havlik provides an update on where the group is one year later.
This episode originally aired in August 2018. In this episode, we hear from FINRA's Chief Economist and Office of General Counsel to learn how FINRA rules are made and reviewed through the FINRA Retrospective Rule Review process.
Hackathons aren’t new. But what about a Buildathon? On this episode, we learn about a unique collaboration between FINRA, the private sector and academia that challenged some of the best technology students to solve common problems faced by everyday investors.
Dr. Olivia S. Mitchell’s research into the evolving world of retirement security earned her the 2019 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, Dr. Mitchell discusses her research and how the way Americans think about and plan for retirement is changing.
Soon brokerage firms will have to comply with a new standard of conduct when working with retail clients with the implementation of Regulation Best Interest. What is the new standard? What will firms need to do to comply? Tune in to learn more from FINRA’s Chief Legal Officer.
What happens if a brokerage firm doesn’t report trading information appropriately? At first, it might seem like it isn’t a big deal – just a data issue. But is vital. Accurate market data is at the foundation of FINRA’s efforts to ensure the integrity of our markets.
It’s easy for any company to get caught up in the status quo, too busy focusing on the challenges of today to anticipate the challenges of tomorrow. The Createathon, FINRA’s take on a hackathon, looks to prevent that by allowing employees across the organization a chance to step away from their day jobs to think differently.
From Ireland to Malta to Colombia, foreign markets are global, so too must be FINRA’s presence. On this episode, we hear about FINRA’s International Group, which serves as the central point of contact for relations with foreign regulators.
Corporate culture is defined as the way people act. But what helps people understand how to act, how to behave and how to make decisions? That’s the organization’s values.