Podcasts: FINRA Unscripted
Between the level of interconnectedness on the web and the sheer about of data available, we’re living in an era ripe for the perpetration of financial fraud. That makes it more important than ever for FINRA to have a holistic view of emerging trends and risks—and the ability to coordinate closely with other regulators and law enforcement. FINRA’s new National Cause and Financial Crimes Detection Programs (NCFC) will be the nerve center to do just that.
FINRA Enforcement works on the front lines of investor protection—not just now, as some look to take advantage of these uncertain time to defraud investors or manipulate the markets – but always. On this episode, we meet Jessica Hopper, FINRA’s new Head of Enforcement, to hear what her team is doing today to prevent investor harm and to keep our markets fair.
Market volatility in recent weeks has surpassed anything else in history in terms of both the extremity and duration. Despite that, the so-called plumbing of U.S. financial markets has held up remarkably well. On this episode, we talk to FINRA’s head of Market Regulation to learn how the evolution of U.S. market structure contributed to that resilience.
FINRA is committed to the protection of senior investors and other vulnerable adults. That’s why FINRA launched the Securities Helpline for Seniors. On this episode, we hear how the Helpline handles calls, frequent areas of concern and how the Helpline has evolved over the five years since its launch.
The new coronavirus that causes COVID-19 has rapidly changed the way U.S. broker-dealers must conduct business as states implement various shelter-in-place and stay-at-home orders, forcing workers remote. On this episode, we talk to FINRA’s Chief Legal Officer and Head of Member Supervision to learn how FINRA is adapting its operations and providing important regulatory relief.
The Membership Application Program Group is the gatekeeper to the broker-dealer industry. It works both to protect investors by ensuring would-be firms meet FINRA’s standards of admission and to help new and existing firms grow and evolve, ensuring a vibrant market for all. On this episode, we learn more.
The CE Council, FINRA and other CE Council members are working together on the biggest change to continuing education for broker dealers in 25 years. On this episode, we hear both the firm and regulatory perspective as we learn what will be changing in the years ahead.
When deciding where and in what to invest, it’s important that investors understand the risks—not just the marketing hype. That’s why FINRA’s Advertising Regulation Group works to oversee broker-dealer communications to ensure that they are fair, balanced and not misleading. On this episode, we learn more.
This episode originally aired in December 2018. More than 15,000 different stocks, options and bonds trade every day across millions of transactions. When it comes to detecting insider trading, it really is like finding a needle in a haystack. But that’s exactly what Sam Draddy and his team work to uncover.
How many Americans are investing in non-retirement accounts? How are they making decisions about where invest? How much do they truly understand about investing? And how has this all changed over time? On this episode, we dig into the FINRA Foundation’s latest study to uncover the answers to these questions and more.