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Podcasts: FINRA Unscripted

The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. On this episode, we hear from the head of FINRA's National Cause and Financial Crimes Detection Programs about recent trends and how firms can work to protect themselves and their customers.
Last year, as FINRA staff looked to adjust to a new exam and risk monitoring program structure, the industry and the world was struck with an unprecedented global crisis. On this episode, the second in a two-part series, we hear how the program adapted in the face of the pandemic before looking ahead to priorities for 2021.
Facilitating Compliance
2020 was a year of great change and transition for FINRA’s Exam and Risk Monitoring Program—and the pandemic wasn’t even the start of it. On this episode, the first in a two-part series, we hear how the program fared in its first year after a major transformation.
Leadership in Technology
Cybersecurity has only increased in importance as huge swaths of the workforce continue to work remotely. On this episode, two FINRA cybersecurity experts share how FINRA handled the transition and areas of focus for 2021. Plus, learn why you should think twice before trying to brush that piece of hair off your phone screen.
Formal disciplinary action or informal action, settlement or complaint. Or, the one you never hear about: no action. There are a lot of possible outcomes for an Enforcement investigation. On this episode, Jessica Hopper, head of FINRA Enforcement, walks us through the Enforcement process and the many steps in the process.
Leadership in Technology
Technology is opening up new possibilities when it comes to solving business challenges. And that's important when it comes to optimizing an organization's most valuable limited resource: its people. On this episode, Member Supervision's new head of Data Analytics and Technology explains how FINRA is augmenting its examination and risk monitoring program.
Facilitating Compliance
For the last couple of years, FINRA has been working to revolutionize the digital experience of firms, particularly when it comes to registration and disclosure. Recently, many of these changes have come to life through the new FINRA Gateway and an enhanced Form U4 filing experience. On this episode, we learn more about what’s new and what to expect next.
Fostering Engagement
FINRA’s Member Relations & Education team is responsible for ensuring FINRA's regulatory programs are working for everyone and for maintaining a strong relationship with FINRA's member firms. But with a new group head looking back on an unprecedented year, the Member Relations & Education team is reimaging the future of member engagement.
Leadership in Technology
FINRA hosted the virtual AI Conference to bring together regulators and leaders across the financial services industry to discuss the use of artificial intelligence and related opportunities and challenges. On this episode, we hear about the current and future state of AI from three industry leaders.
Facilitating Compliance
A broker-deal firm’s anti-money laundering efforts may overlap with any number of other regulatory concerns. On this episode, the second in a two-part series, we’re looking at how AML may overlap with a firm’s efforts to protect senior investors from exploitation and fraud.