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.

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.

The New SIE Exam: Opening Doors to the Securities Industry

September 25, 2018

Looking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch the Securities Industry Essential (SIE) exam, a new exam that will test concepts fundamental to the securities industry. And you don’t have to be associated with a financial firm to take it!

Sharing Data and Strengthening Compliance

September 11, 2018

In episode 13, we sat down with Tom Gira and learned how his team use machine learning to sift through billions of market events each day to detect misconduct. But FINRA isn’t just keeping that data for itself, it is sharing it with financial firms to strengthen regulatory compliance across the industry. Today, Gira joins us once again to share how his team is using the data to foster fairer markets.

How FINRA Rules Get Made (And Reviewed)

August 28, 2018

An economist and a lawyer walk into a room. This isn’t the start of a bad joke, it’s an integral part of FINRA’s rule making process. At FINRA, economists and lawyers work closely together to ensure that FINRA’s rules are as effective and as tailored as possible. In this episode, Phil Shaikun from FINRA’s Office of General Counsel, and Jonathan Sokobin, FINRA’s Chief Economist, explain how the process works.

Fintech, Regtech & Suptech: Keeping Up with Industry Innovations

August 14, 2018

How are financial regulators keeping up with the newest fintech developments and predicting their impact on the financial industry? Last year, FINRA launched the Innovation Outreach Initiative to address this very issues. In this episode, Haime Workie and Kavita Jain talk about the initiative itself and share their insights on the fintech innovations that are driving market activity around the world.

Enforcement Guiding Principles

July 31, 2018

What are the principles that guide FINRA’s decision making when it comes to taking Enforcement action? That’s the question that’s been on the mind of FINRA’s head of Enforcement, Susan Schroeder, since she took on the role in mid-2017. In this episode, Susan rejoins us to discuss how getting back to basics is helping her build a more effective Enforcement team.

How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance

July 16, 2018

In episode 12 we sat down with Steve Randich and learned how the cloud provides FINRA with the storage space and computing power to process up to 101 billion market events in a single day. Today, we sit down with FINRA’s head of Market Regulation and Transparency Services, Tom Gira, to hear how the cloud and machine learning enable his team to more efficiently and effectively sift through this massive amount of data to detect misconduct.

How the Cloud Has Revolutionized FINRA Technology

July 3, 2018

FINRA now has more than 30 petabytes of data in the cloud—to put that into the context of MP3 music files that would be about 60 million years of easy listening. In this episode, FINRA’s Chief Information Officer Steve Randich joins us to discuss how the use of the cloud has fundamentally changed FINRA’s technology strategy.