64 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
    • 4.7, 37 Ratings

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.

    Virtual Conference Panels: Fireside Chat on Current Issues

    Virtual Conference Panels: Fireside Chat on Current Issues

    With the cancellation of the 2020 FINRA Annual Conference and other in-person events throughout the year, we’ve gone virtual with a variety of on-demand conference panels on regulatory hot topics. On this episode, we’re dropping in for a quick listen to the latest FINRA Virtual Conference Panel with Robert Cook, Bari Havlik and Bob Colby.

    • 16 min
    Regulation Best Interest: Implementing a New Standard of Conduct

    Regulation Best Interest: Implementing a New Standard of Conduct

    As of June 30, 2020, the U.S. Securities and Exchange Commission’s Regulation Best Interest—or Reg BI—is officially in effect. What does a post implementation-date world look like? And how is FINRA working to ensure a consistent approach to examining around and enforcing the new regulation? Tune in to learn more.

    • 31 min
    Protecting the Most Vulnerable: How FINRA Enforcement Prioritizes Senior Investors

    Protecting the Most Vulnerable: How FINRA Enforcement Prioritizes Senior Investors

    You can't talk about investor protection without talking about senior investors. With a substantial increase in recent years in the number of cases involving the exploitation of seniors, FINRA Enforcement has made protecting this segment of the population a priority. On this episode, we hear what FINRA is doing and how firms can work with FINRA in this important effort.

    • 17 min
    COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis

    COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis

    The COVID-19 pandemic is unlike any other crisis in recent history, which presents an opportunity to criminals who are flexible and adaptable. That means firms and regulators must be flexible and adaptable too. So FINRA created a COVID-19 Task Force to help FINRA tackle emerging issues to quickly protect investors and our markets.

    • 21 min
    Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs

    Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs

    Between the level of interconnectedness on the web and the sheer about of data available, we’re living in an era ripe for the perpetration of financial fraud. That makes it more important than ever for FINRA to have a holistic view of emerging trends and risks—and the ability to coordinate closely with other regulators and law enforcement. FINRA’s new National Cause and Financial Crimes Detection Programs (NCFC) aims to be the nerve center to do just that.

    • 23 min
    FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad

    FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad

    FINRA Enforcement works on the front lines of investor protection—not just now, as some look to take advantage of these uncertain time to defraud investors or manipulate the markets – but always. On this episode, we meet Jessica Hopper, FINRA’s new Head of Enforcement, to hear what her team is doing today to prevent investor harm and to keep our markets fair.

    • 26 min

Customer Reviews

4.7 out of 5
37 Ratings

37 Ratings

jl504 ,

Excellent podcast

A few episodes made me aware of certain investor protection programs that I didn’t know FINRA had.

The stories that the guests told were the most entertaining and educational parts for me. It’s always more understandable when a concept is illustrated by a real life case example.

P38747289 ,

Kaitlyn really takes us through the issues of the day

One of the best financial podcasts in the biz

Rob Gu'ner ,

Kaitlyn is Awesome!

Very informative.

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