To listen to an audio podcast, mouse over the title and click Play. Open iTunes to download and subscribe to podcasts.
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.
||Clean23: Insider Trading: Finding the Needle in the Haystack||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 in the||12/4/2018||Free||View in iTunes|
||Clean22: Millennials and Money: How to Get Started on the Road to Investing||Contrary to popular belief, many millennials aren’t too keen on robo-advisors and would actually prefer to work with a professional—but don’t feel confident enough to know where to begin. In this episode, Gerri Walsh and Gary Mottola of the FINRA||11/20/2018||Free||View in iTunes|
||Clean21: Member Supervision: Introducing Bari Havlik and the Exam Program Transformation||When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. In this episode, Bari shares her vision for the future and how her backgrou||11/6/2018||Free||View in iTunes|
||Clean20: Cybersecurity Awareness Month: Stay Connected and Protected||In an era when much of our lives happen online, cybersecurity is more important than ever. But what do you do to protect your personal information? We all have a role to play in keeping ourselves secure. This National Cybersecurity Awareness Month, tune||10/23/2018||Free||View in iTunes|
||Clean19: Debunked: 7 Myths about Millennials—the Underinvested Generation||Millennials are on the cusp of surpassing Baby Boomers as the largest adult generation in America, yet they remain substantially under-invested. The FINRA Foundation and CFA Institute teamed up to investigate why. Today, Gerri Walsh and Gary Mottola joi||10/9/2018||Free||View in iTunes|
||Clean18: The New SIE Exam: Opening Doors to the Securities Industry||Looking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch the Securities Industry Essential (SIE) exam, a new exam that will test concepts fundamental to the securities industry. And you don||9/25/2018||Free||View in iTunes|
||Clean17: Sharing Data and Strengthening Compliance||In episode 13, we sat down with Tom Gira and learned how his team use machine learning to sift through billions of market events each day to detect misconduct. But FINRA isn’t just keeping that data for itself, it is sharing it with financial firms to||9/11/2018||Free||View in iTunes|
||Clean16: How FINRA Rules Get Made (And Reviewed)||An economist and a lawyer walk into a room. This isn’t the start of a bad joke, it’s an integral part of FINRA’s rule making process. At FINRA, economists and lawyers work closely together to ensure that FINRA’s rules are as effective and as tai||8/28/2018||Free||View in iTunes|
||Clean15: Fintech, Regtech & Suptech: Keeping Up with Industry Innovations||How are financial regulators keeping up with the newest fintech developments and predicting their impact on the financial industry? Last year, FINRA launched the Innovation Outreach Initiative to address this very issues. In this episode, Haime Workie a||8/14/2018||Free||View in iTunes|
||Clean14: Enforcement Guiding Principals||What are the principles that guide FINRA’s decision making when it comes to taking Enforcement action? That’s the question that’s been on the mind of FINRA’s head of Enforcement, Susan Schroeder, since she took on the role in mid-2017. In this e||7/31/2018||Free||View in iTunes|
||Clean13: How the Cloud and Machine Learning Have Transformed Market Surveillance||In episode 12 we sat down with Steve Randich and learned how the cloud provides FINRA with the storage space and computing power to process up to 101 billion market events in a single day. Today, we sit down with FINRA’s head of Market Regulation and||7/17/2018||Free||View in iTunes|
||Clean12: How the Cloud Has Revolutionized FINRA Technology||FINRA now has more than 30 petabytes of data in the cloud—to put that into the context of MP3 music files that would be about 60 million years of easy listening. In this episode, FINRA’s Chief Information Officer Steve Randich joins us to discuss ho||7/3/2018||Free||View in iTunes|
||Clean11: What is FINRA’s Dispute Resolution Forum?||What is FINRA’s Dispute Resolution forum? How might I end up with a case in arbitration or mediation? What does the process look like? FINRA’s Head of Dispute Resolution, Rick Berry, answers these questions and more in this episode of FINRA Unscript||6/19/2018||Free||View in iTunes|
||Clean10: ERI: Introducing FINRA’s Weatherman||FINRA can’t predict the future, but like a weatherman, it can make predictions based on circumstances that exist today. FINRA’s Office of Emerging Regulatory Issues (ERI) looks to predict what storms may be brewing in the securities market and what||6/5/2018||Free||View in iTunes|
||Clean9: One Enforcement: Introducing FINRA’s New Enforcement Team||Consistency and foreseeability: that’s what any regulator strives for. But when FINRA CEO Robert Cook asked around, he heard that wasn’t always the case—particularly when it came to two different enforcement teams. That’s why FINRA’s Susan Sch||5/21/2018||Free||View in iTunes|
||Clean8: The Senior Helpline: Addressing the Unique Needs of Senior Investors||Senior investors may have unique needs that elevate the need for expedited attention with securities brokerage concerns. For three years, FINRA’s Securities Helpline for Seniors has been working to address those needs. Here’s how.||4/30/2018||Free||View in iTunes|
||Clean7: One FINRA: A Commitment to Diversity and Inclusion||Diversity and inclusion are good for business. The financial services industry may not be known for its diverse workforce or inclusive culture, but FINRA is aiming to change that perception. Hear FINRA leaders share strategies and actions you can take t||4/16/2018||Free||View in iTunes|
||Clean6: Combatting Cybersecurity Threats||Our tech-connected world faces threats against our data and technology. Both people and businesses must be vigilant to avoid a breach. In this FINRA Unscripted episode, hear from John Brady, FINRA's vice president for cybersecurity, as he talks to FINRA||2/26/2018||Free||View in iTunes|
||Clean5: A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs||It is 2018. America is facing a wave of new government appointments and upcoming elections at all levels of the government. And with new leaders, come new priorities. How does FINRA navigate the changing environment? We are in the nation’s capital wit||1/29/2018||Free||View in iTunes|
||Clean4: Investing Smarter||Do you have student loan debt? If you do, you’re not alone. Almost 70 percent of students graduate with student debt—and many entering the job market in debt are unprepared to manage their own finances. That was the case for Gerri Walsh. Gerri now l||12/20/2017||Free||View in iTunes|
||Clean3: FINRA360: Building a Stronger FINRA||How can FINRA become a better, more effective regulator? That’s the question Robert Cook is looking to answer by soliciting feedback from financial firms, investors and other stakeholders. FINRA360 is the program through which he is turning the answer||11/27/2017||Free||View in iTunes|
||Clean2: Building A More Transparent Organization||Long before transparency was a buzzword, it was central to FINRA’s mission. Transparent markets and educated investors ensure our markets remain strong and public trust in our markets remain high. Today, we sit down with FINRA’s Marcia Asquith, EVP||11/14/2017||Free||View in iTunes|
||Clean1: What Does FINRA’s Chief Economist Do?||FINRA has an obligation to think through the impact of its rules. What is the problem we are trying to solve? How does this rule or solution solve that problem? Is it the best solution to the problem? Our Chief Economist Jonathan Sokobin asks those toug||11/5/2017||Free||View in iTunes|
This is a fantastic resource for compliance professionals or any investment professional looking to learn more about FINRA and how it operates. Very easy to listen too...you’ll almost forget you are listening to something by a regulator.
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.