Videos

FINRA Chairman and CEO Rick Ketchum and Lead Governor Jack Brennan review rulemaking and other issues discussed at FINRA's July Board of Governors meeting. In addition to the video, a summary of the board actions is also available.

FINRA has developed a new report to assist firms with monitoring their supervision for trading behaviors that may be designed to manipulate the market. This new Cross Market Equities Supervision: Potential Manipulation Report displays exceptions around two behaviors—layering and spoofing - concerns  recently highlighted in FINRA’s 2016 Regulatory Examination Priorities Letter.  During the course of the program, we discuss the content, functionality, and anticipated usage of the report.

FINRA Chairman and CEO Rick Ketchum and Lead Governor Jack Brennan review rulemaking and other issues discussed at FINRA's February Board of Governors meeting. In addition to the video, a summary of the board actions is also available.

In September 2015, we celebrated the 20th anniversary of the Securities Industry Continuing Education Program. This video documents the evolution of the Continuing Education Program and includes conversations with former SEC Chairman Arthur Levitt—whose initiative was the impetus for the formation of the Securities Industry Task Force on Continuing Education—and FINRA Chairman and CEO Rick Ketchum.

FINRA Chairman and CEO Rick Ketchum and Lead Governor Jack Brennan review rulemaking and other issues discussed at FINRA's February Board of Governors meeting. In addition to the video, a summary of the board actions is also available.

FINRA Chairman and CEO Rick Ketchum, Lead Governor Jack Brennan and Finance Committee Chairman Jim Weddle review rulemaking and other issues discussed at FINRA's December Board of Governors meeting. In addition to the video, a summary of the board actions is also available.

FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to review rulemaking and other issues discussed at FINRA's September Board of Governors meeting.

From the FINRA 2015 Annual Conference, a panel discussion about ways to get involved via committee service, elections, and comment letters.

From the FINRA 2015 Annual Conference, a panel discussion about ways to get involved via committee service, elections, and comment letters.

FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to review rulemaking and other issues discussed at FINRA's July 2015 Board of Governors meeting.