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157 episodes
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FINRA Unscripted FINRA
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4.8 • 45 Ratings
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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.
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An Update on FINRA’s Crypto Asset Work and the Crypto Hub
Last summer, we introduced listeners to FINRA’s Crypto Hub, an enterprise-wide strategy for keeping up with the evolving crypto asset regulatory landscape. On this episode, we have three members of the hub join us to provide an update on that work to dig into the results of a recent survey of member firms regarding their crypto asset touch points to tell us about the new spot Bitcoin ETP market and more.
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Financial Intelligence Unit: Connecting the Industry with Actionable Information
FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of providing actionable intelligence to firms, other regulators and law-enforcement to keep investors safe. On this episode, we learn how the group has grown in recent years and hear how they are evolving the way they share information.
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Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations
Financial social media influencers or finfluencers are growing in popularity as a cheap way to reach a new generation of investors. But using this newer form of advertising comes with risks. On this episode, we learn more about the regulatory requirements around the use of social media influencers and hear some best practices for firms looking to make use of “finfluencer” programs.
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Amendments to FINRA Rule 4210: Covered Agency Transactions
In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions. On this episode, we learn more about the purpose of the change and what firms need to think about to ensure compliance.
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FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct
Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representative Program is on the case, identifying and monitoring individuals who pose an elevated risk of misconduct to protect investors and maintain the integrity of the market.
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Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year. On this episode, we hear how the team connects trading data, information from public sources and from companies and FINRA firms to pull together actionable intelligence.
Customer Reviews
FINRA PODCASTS
Informative, highly engaging, inspiring educational podcasts ! Thank you the host and FINRA Team for an outstanding programs. Can’t wait to listen to the next episode!
Kaitlyn really takes us through the issues of the day
One of the best financial podcasts in the biz
Kaitlyn is Awesome!
Very informative.