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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.

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

The gap between the Haves and the Have Nots continues to widen and Americans are failing to save money, struggling with student loan debt and facing decreasing financial literacy, according to the new FINRA Foundation Financial Capability Study. On this, we delve into the study results and their implication.

July 09, 2019

What do physicists and financial industry regulators have in common? More than you'd think. On this episode, we sit down with Tom Gira, head of FINRA’s Market Regulation and Transparency Services group, to learn not just how the cloud and machine learning have fundamentally improved FINRA's ability to regulate markets, but also what we've been learning from physicists along the way.

June 25, 2019

FINRA is in the middle of a wide-ranging, multi-year effort to revolutionize the digital experience of FINRA member firms. It’s a transformation driven by firms for firms. On this episode, we learn how the project will simplify the user experience, increase flexibility and automation when it comes to user-defined access to FINRA data and more.

June 11, 2019