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.

One Enforcement: Introducing FINRA’s New Enforcement Team

May 21, 2018

Consistency and foreseeability: that’s what any regulator strives for. But when FINRA CEO Robert Cook asked around, he heard that wasn’t always the case—particularly when it came to two different enforcement teams. That’s why FINRA’s Susan Schroeder has taken on the task of bring together these two teams into One Enforcement. Here’s how she’s doing it.

FINRA’s Senior Helpline: Addressing the Unique Needs of Senior Investors

May 1, 2018

Senior investors may have unique needs that elevate the need for expedited attention with securities brokerage concerns. For three years, FINRA’s Securities Helpline for Seniors has been working to address those needs. Here’s how.

One FINRA: An Organization’s Commitment to Diversity and Inclusion

April 17, 2018

Diversity and inclusion are good for business. The financial services industry may not be known for its diverse workforce or inclusive culture, but FINRA is aiming to change that perception. Hear FINRA leaders share strategies and actions you can take to drive a more diverse and inclusive workplace.

FINRA Unscripted: Combatting Cybersecurity Threats

February 27, 2018

Our tech-connected world faces threats against our data and technology. Both people and businesses must be vigilant to avoid a breach. In this FINRA Unscripted episode, hear from John Brady, FINRA's vice president for cybersecurity, as he talks to FINRA's Mike Rote about what his team does to combat threats and tips you can use in your life to be cyber secure.

FINRA Unscripted: A Leader’s View with FINRA's Senior Vice President for Government Affairs Greg Dean

January 30, 2018

Hear from SVP of Government Affairs, Greg Dean about how he works with federal and state legislators to facilitate FINRA's mission.

FINRA Unscripted: A Leader’s View on Investor Education with Gerri Walsh, FINRA Foundation President

December 21, 2017

Can financial mistakes lead to a life of helping others? What should you do before you invest? How can you avoid being scammed? Hear the answers when Gerri Walsh, President of the FINRA Investor Education Foundation, talks with FINRA’s Kenneth Edward Piner about her own financial journey.

FINRA Unscripted: A Leader’s Perspective on FINRA360 with our President & CEO, Robert Cook

November 28, 2017

Listen to FINRA’s President & CEO Robert Cook, talk with FINRA’s head of communications, Josh Drobnyk, about the progress of FINRA360.

FINRA Unscripted: A Leader’s Perspective with Executive Vice President of Board and External Relations Marcia Asquith

November 15, 2017

Listen to FINRA’s Executive Vice President of Board and External Relations Marcia Asquith, talk with FINRA’s head of communications, Josh Drobnyk, about the first phase of changes to FINRA’s advisory committees to improve transparency and the committees’ effectiveness.

FINRA Unscripted: A Leader’s Perspective with FINRA Chief Economist Jonathan Sokobin

November 6, 2017

Listen to FINRA’s Chief Economist, Jonathan Sokobin, talk with FINRA’s head of communications, Josh Drobnyk, about the work his office does for FINRA. Sokobin also discusses his team’s recent work around microstructure and capital formation—and a related conference on market structure.