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.

Encore | How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance

June 25, 2019

What do physicists and financial industry regulators have in common? More than you'd think. On this episode, we sit down with Tom Gira, head of FINRA’s Market Regulation and Transparency Services group, to learn not just how the cloud and machine learning have fundamentally improved FINRA's ability to regulate markets, but also what we've been learning from physicists along the way.

DXT: Transforming the Digital Experience of Firms

June 11, 2019

FINRA is in the middle of a wide-ranging, multi-year effort to revolutionize the digital experience of FINRA member firms. It’s a transformation driven by firms for firms. On this episode, we learn how the project will simplify the user experience, increase flexibility and automation when it comes to user-defined access to FINRA data and more.

Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik

May 28, 2019

The FINRA Annual Conference in Washington, DC, is FINRA’s biggest event of the year. On this episode, we take you behind the scenes of this year’s event to listen in on the first session of the three-day event: a fireside chat with FINRA President and CEO Robert Cook and EVP of Member Supervision Bari Havlik.

Beyond Hollywood, Part II: AML Priorities and Best Practices

May 14, 2019

The world of money laundering is a fast-paced and ever evolving, which can make it difficult for a financial firm to develop and maintain a strong anti-money laundering program. On this episode, two FINRA anti-money laundering experts discuss current priorities and best practices when it comes to AML regulation.

Beyond Hollywood: Money Laundering in the Securities Industry

April 30, 2019

The only thing many people know about money laundering is what they’ve learned from Hollywood. So if you want to really understand what money laundering is, and more specifically, the efforts brokerage firms must take to prevent and detect it, tune in. On this episode we talk to two of FINRA’s Anti-Money Laundering experts.

2019 Budget Summary: A Look Behind the Curtain

April 16, 2019

FINRA’s 2019 Budget Summary provides transparency not just into FINRA’s operations, but also the self-regulatory organization’s financial guiding principles. On this episode, we hear from FINRA’s CFAO about how a drawing down on reserves can be part of a company’s long-term financial plan.

FINRA’s Point Guard: The Central Review Group

April 2, 2019

The Central Review Group is the nerve center of FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI). On this episode of FINRA Unscripted, we learn how the group combs through tens of thousands of investor complaints, regulatory tips, disclosure events, routine regulatory filings and more every year to look for red flags of fraud or other concerns.

Member Relations & Education: Making Regulation Smarter

March 19, 2019

As a self-regulatory organization, FINRA is uniquely positioned to gain meaningful insights from its members to help ensure FINRA’s regulatory programs are working for everyone. Tasked with maintaining that relationship and keeping an open dialogue is FINRA’s Office of Member Relations and Education. On this episode, we learn how.

CRD Transformation: Enhancing the Registration & Disclosure Process

March 5, 2019

Twenty years after its last major update, FINRA’s Central Registration and Depository (CRD) system, the backbone of BrokerCheck, is getting a facelift. On this episode of FINRA Unscripted, we hear what users can expect from the multi-year CRD transformation process.

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.