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.

Collaboration, Expertise, Innovation and Responsibility: Introducing FINRA’s Values

August 20, 2019

What is corporate culture? How do you shape it? What’s the role of organizational values? On this episode, we learn the answer to these questions and more as we walk through FINRA’s recent introduction of four new organizational values.

Credit For Cooperation: Recognizing Extraordinary Efforts

August 6, 2019

What does it take to receive credit for extraordinary cooperation when it comes to FINRA Enforcement actions? What does extraordinary even mean in that context? On this episode, we dig into updated guidance on this topic with FINRA’s head of Enforcement.

Financial Capability Study, Part II: Tracking Shifting Currents of Financial Well-Being

July 23, 2019

How many Americans participate in the gig economy? Do you regret paying what you did for college? Would you avoid a medical service due to its cost? The new FINRA Foundation Financial Capability Study asked these questions and more to get a pulse on recent changes to American financial capability and well-being.

Financial Capability Study, Part I: Does a Rising Tide Lift All Boats?

July 9, 2019

The U.S. economy is improving, but not all Americans are benefiting equally. Many Americans are failing to save money, struggling with student loan debt and facing decreasing financial literacy, according to the new FINRA Foundation Financial Capability Study. On this episode, we delve into the study results and their implications.

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.