53 episodes

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.

FINRA Unscripted FINRA

    • Government

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.

    Advertising Regulation: Expect More Than Just Hype

    Advertising Regulation: Expect More Than Just Hype

    When deciding where and in what to invest, it’s important that investors understand the risks—not just the marketing hype. That’s why FINRA’s Advertising Regulation Group works to oversee broker-dealer communications to ensure that they are fair, balanced and not misleading. On this episode, we learn more.

    • 23 min
    Encore | Insider Trading: Finding the Needle in the Haystack

    Encore | 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 Office of Fraud Detection and Market Intelligence group do. Learn how in this encore episode of FINRA Unscripted.

    • 27 min
    What Fees?: A Look at American Investor Knowledge

    What Fees?: A Look at American Investor Knowledge

    How many Americans are investing in non-retirement accounts? How are they making decisions about where to put that hard-earned cash? How much do they truly understand about investing? And how has this all changed over time? On this episode, we dig into the FINRA Foundation’s latest study to uncover the answers to these questions and more.

    • 24 min
    What to Expect: The 2020 Exam and Risk Monitoring Program

    What to Expect: The 2020 Exam and Risk Monitoring Program

    The 1920s was a period of great change and transition and the 2020s are shaping up to be the same—at least for FINRA’s Examination and Risk Monitoring program. On this episode, we kick off the new Roaring 20s with a look at what to expect from the program in the year ahead.

    • 25 min
    A Career Highlight: Exam and Risk Monitoring Program Transformation Update

    A Career Highlight: Exam and Risk Monitoring Program Transformation Update

    FINRA’s examination and risk monitoring program is in the midst of a largescale transformation to make FINRA a more effective, agile and risk-focused regulator. On this episode, Executive Vice President Bari Havlik provides an update on where the group is one year later.

    • 20 min
    Encore | How FINRA Rules Get Made (And Reviewed)

    Encore | 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 tailored as possible. On this episode, we learn more.

    • 23 min

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