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.

A Look at the FINRA Institute at Georgetown CRCP Program

February 19, 2019

Looking to give your career a shot of the arm? Want understand not just the current regulatory landscape, but also the regulatory trajectory and where things are going? Tune into this episode of FINRA Unscripted to learn what makes the FINRA Institute at Georgetown CRCP program a can’t-miss opportunity.

The Future of RegTech: The Challenges and Opportunities

February 5, 2019

RegTech tools can present both tremendous opportunities and tremendous challenges for firms and regulators alike. They can also pose some interesting philosophical questions when it comes to their implementation. On this episode, we hear three unique perspectives on these opportunities and challenges from regulators from the U.K., the states and FINRA.

The Annual Priorities Letter: A Fresh Take

January 22, 2019

The Annual FINRA Priorities Letter is a great resource for firms looking to improve their compliance, supervisory and risk management programs. But the 2019 Letter is a little different. Tune into this episode of FINRA Unscripted to learn more about the changes to the letter and to drill into a few key topics.

Behind the Scenes: FINRA's Board of Governors

January 8, 2019

Academics, economists, CEOs. FINRA’s Board of Governors is made up of a diverse group of individuals with diverse perspectives—a must for a group responsible for overseeing a complex organization such as FINRA. Learn more about the composition and responsibilities of the Board of Governors on this episode of FINRA Unscripted.

Bits & Bytes: A Look at Effective Cybersecurity Practices

December 20, 2018

Cybersecurity is a major challenge for everyone – but it can be a particularly big challenge for those in the financial industry. That’s why FINRA released a new report highlighting effective cybersecurity practices for FINRA member firms. Learn more in this episode of FINRA Unscripted.

Insider Trading: Finding the Needle in the Haystack

December 4, 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 in the Office of Fraud Detection and Market Intelligence group do. Learn how in this episode of FINRA Unscripted.
Group of Millennials

Millennials and Money: How to Get Started on the Road to Investing

November 20, 2018

Contrary to popular belief, many millennials aren’t too keen on robo-advisors and would actually prefer to work with a professional—but don’t feel confident enough to know where to begin. In this episode, Gerri Walsh and Gary Mottola of the FINRA Foundation rejoin us to turn some of the myths from “Uncertain Futures: Seven Myths about Millennials and Investing” into actionable information.

Member Supervision: Introducing Bari Havlik and the Exam Program Transformation

November 6, 2018

When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. In this episode, Bari shares her vision for the future and how her background in compliance has shaped her views.

Cybersecurity Awareness Month: Stay Connected and Protected

October 23, 2018

In an era when much of our lives happen online, cybersecurity is more important than ever. But what do you do to protect your personal information? We all have a role to play in keeping ourselves secure. This National Cybersecurity Awareness Month, tune in to learn more about how you can keep yourself, your family and your clients safe online.

Debunked: 7 Myths about Millennials—the Underinvested Generation

October 9, 2018

Millennials are on the cusp of surpassing Baby Boomers as the largest adult generation in America, yet they remain substantially under-invested. The FINRA Foundation and CFA Institute teamed up to investigate why. Today, Gerri Walsh and Gary Mottola join us to discuss their recent report, "Uncertain Futures: Seven Myths about Millennials and Investing," and uncover the misconceptions and roadblocks millennials face in their path to becoming investors.