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FINRA Podcasts provide compliance officers and other staff at broker-dealers information on regulatory topics from the largest independent securities regulator in the US.

Customer Reviews

Excellent Resource

I am an industry compliance officer and find that these podcasts serve as an excellent best practices reminder. They keep me watchful for common, and not so common, potential red flag behaviors. I often send out a blast email to the folks I supervise after listening to the podcast.

The easy going conversational delivery makes the podcast enjoyable when so much of our industry is (by rights) very stiff and "stuffed shirt."

Thank you for presenting such timely and helpful information.

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  • Free
  • Category: Investing
  • Language: English

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