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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.

The Membership Application Program Group is the gatekeeper to the broker-dealer industry. It works both to protect investors by ensuring would-be firms meet FINRA’s standards of admission and to help new and existing firms grow and evolve, ensuring a vibrant market for all. On this episode, we learn more.

March 17, 2020

The CE Council, FINRA and other CE Council members are working together on the biggest change to continuing education for broker dealers in 25 years. On this episode, we hear both the firm and regulatory perspective as we learn what will be changing in the years ahead.

March 03, 2020

When deciding where and in what to invest, it’s important that investors understand the risks—not just the marketing hype. That’s why FINRA’s Advertising Regulation Group works to oversee broker-dealer communications to ensure that they are fair, balanced and not misleading. On this episode, we learn more.

February 18, 2020

More than 15,000 different stocks, options and bonds trade every day across millions of transactions. When it comes to detecting insider trading, it really is like finding a needle in a haystack. But that’s exactly what Sam Draddy and his team work to uncover.

February 04, 2020

How many Americans are investing in non-retirement accounts? How are they making decisions about where invest? How much do they truly understand about investing? And how has this all changed over time? On this episode, we dig into the FINRA Foundation’s latest study to uncover the answers to these questions and more.

January 21, 2020

The 1920s was a period of great change and transition and the 2020s are shaping up to be the same—at least for FINRA’s Examination and Risk Monitoring program. On this episode, we kick off the new Roaring 20s with a look at what to expect from the program in the year ahead.

January 07, 2020

FINRA’s examination and risk monitoring program is in the midst of a large-scale transformation to make FINRA a more effective, agile and risk-focused regulator. On this episode, Executive Vice President Bari Havlik provides an update on where the group is one year later.

December 10, 2019

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