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FINRA Unscripted

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.

This episode originally aired in August 2018.  Schoolhouse Rock taught us how a bill up on Capitol Hill becomes law. Unfortunately, they never got around to explaining how a FINRA rule proposal becomes regulation.

November 26, 2019

Hackathons aren’t new. Silicon Valley has been using them for years and they’ve become commonplace among technologists. But what about a Buildathon?

November 12, 2019

The way Americans think about and plan for retirement is changing. Gone are the days when Americans drop out of the workforce at 65 and hit the golf course, according to the University of Pennsylvania Wharton School’s Dr. Olivia S. Mitchell, the 2019 recipient of the Ketchum Prize.

October 29, 2019

Soon brokerage firms will have to comply with a new standard of conduct when working with retail clients with the implementation of Regulation Best Interest. What is the new standard? What will firms need to do to comply? Tune in to learn more from FINRA’s Chief Legal Officer.

October 15, 2019

What happens if a brokerage firm doesn’t report trading information appropriately? At first, it might seem like it isn’t a big deal – just a data issue. But is vital. Accurate market data is at the foundation of FINRA’s efforts to ensure the integrity of our markets.

October 01, 2019

It’s easy for any company to get caught up in the status quo, too busy focusing on the challenges of today to anticipate the challenges of tomorrow. The Createathon, FINRA’s take on a hackathon, looks to prevent that by allowing employees across the organization a chance to step away from their day jobs to think differently.

September 17, 2019

From Ireland to Malta to Colombia, foreign markets are global, so too must be FINRA’s presence. On this episode, we hear about FINRA’s International Group, which serves as the central point of contact for relations with foreign regulators.

September 03, 2019

Corporate culture is defined as the way people act. But what helps people understand how to act, how to behave and how to make decisions? That’s the organization’s values.

August 20, 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.

August 06, 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.

July 23, 2019