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FINRA Unscripted


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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.

Customer Reviews

Great resource

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’ll almost forget you are listening to something by a regulator.

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.

FINRA Unscripted
View in iTunes
  • Free
  • Category: Investing
  • Language: English

Customer Ratings