FINRA Unscripted
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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 3,5...
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51 എപ്പിസോഡുകൾ
Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
This episode originally aired in January 2025.
Many of us view January as a time to make a fresh start, and as a time to bid farewell to bad hab...
Previewing FINRA’s Crypto and Blockchain Education Program
As member firm activity increases in blockchain and crypto assets, FINRA is launching a Crypto and Blockchain Education Program designed to empower me...
National Financial Capability Study: Key Trends and Insights
In 2009, the FINRA Investor Education Foundation launched the first national study of financial capability of adults in the United States. Since its s...
A Conversation With FINRA Chair Scott Curtis
Resources mentioned in this episode:
Blog Post: Fee Rebate for FINRA Member Firms
Blog Post: FINRA Forward Initiatives to Support Members,...
Robert Cook on FINRA Forward, and More
FINRA Forward—New Initiatives to Support Members, Markets, and the Investors They Serve
FINRA360
Request for Comment on Capital Formation...
Vendor Vigilance: Navigating Third-Party Risk
Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interest...
Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary
This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA...
Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape
As we observe National Consumer Protection Week amid a growing and changing financial fraud landscape, the time is ripe to talk about the ways in whic...
Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team
As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, the lea...
Unpacking the 2025 FINRA Annual Regulatory Oversight Report
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025...
Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
Many of us view January as a time to make a fresh start, and as a time to bid farewell to bad habits. In thinking about your New Year's resolutions, h...
Unlocking Transparency: Navigating FINRA’s Market Data Offerings
Behind every market transaction lies a wealth of data. But how can we harness this information?
On this episode, we sit down with two members o...
Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
This episode originally aired in August 2023.
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving cry...
Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry
In the securities world today, there is little daylight between money laundering and fraud. As these two spaces have come to increasingly overlap, FIN...
The Forgotten Generation: Shining a Spotlight on Gen X’s Financial Health
Gen X is often called the Forgotten Generation given how often they’re overlooked in favor of conversation around boomers, millennials or now even Gen...
The Latest Research: Why Do Targets Engage with Scams?
Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to los...
The Victim Experience: When Romance Leads to a Crypto Scam
The number of highly sophisticated crypto scams is growing, with Americans losing an estimated $5.6 billion to crypto-related scams in 2023, according...
Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation
Last week, FINRA CEO Robert Cook spoke to an audience of regulators, academics, law enforcement agencies, advocacy groups and financial firms at a con...
FINRA’s Examination Program: Optimizing for the Future
FINRA’s Examinations team carries out one of FINRA’s core functions in the examination of FINRA member firms. In an effort to continuously improve the...
FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets
FINRA’s Membership Application Program (MAP) team serves as the first point of contact for firms looking to enter the broker-dealer industry. It works...
An Update on FINRA’s Crypto Asset Work and the Crypto Hub
Last summer, we introduced listeners to FINRA’ Crypto Hub and enterprise-wide strategy for keeping up with the evolving crypto asset regulatory landsc...
Financial Intelligence Unit: Connecting the Industry with Actionable Information
FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of provid...
Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations
Financial social media influencers—or finfluencers—are growing in popularity as a cheap way to reach a new generation of investors. But using these in...
Amendments to FINRA Rule 4210: Covered Agency Transactions
In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and ris...
FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct
Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representativ...
Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bon...
Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team
Senior investor protection has long been a priority for FINRA, and the Vulnerable Adults and Seniors Team (VAST) is at the forefront of FINRA's effort...
Preparing for Change: What to Know About the Shift to T+1
On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. This move, which returns the settlement time frame back t...
A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team
These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're p...
MRTS 2.0: A Redesign for a Rapidly Evolving Market
U.S. financial markets today are not what they were ten years ago, five years ago, or even just a couple of years ago. Over the years, FINRA's Market...
An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry
Generative Artificial Intelligence (AI) and large language models (LLM) are taking the world by storm, presenting numerous opportunities to create bus...
Investors of Color: New Insights from FINRA’s Investor Education Foundation
The FINRA Investor Education Foundation has released a new report, Investors of Color in the United States, examining the behavior and attitudes of in...
From NCFC to Enforcement Head: Reintroducing Bill St. Louis
FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors try to manip...
Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
FINRA recently wrapped up a targeted review of the practices of certain member firms when it comes to communicating with retail investors regarding cr...
2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no si...
FINRA’s Blockchain Lab: Regulation and Innovation For The Future
In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, which serves...
A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team
As the crypto asset space has grown, FINRA has evolved its oversight of the crypto asset activities of FINRA member firms and their associated persons...
An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto...
2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program
The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. The 2023 Report on FINRA’s Examinatio...
Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit
The new Complex Investigations and Intelligence (CII) team and Cyber and Analytics Unit (CAU) are driving a shift in terms of how Member Supervision’s...