154 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
    • 4.8 • 45 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.

    Amendments to FINRA Rule 4210: Covered Agency Transactions

    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.

    • 28 min
    FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct

    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.

    • 34 min
    Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity

    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.

    • 23 min
    Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team

    Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team

    On this episode, we hear from members of both the Vulnerable Adults and Seniors Intake and Investigations teams to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors.

    • 34 min
    Preparing for Change: What to Know About the Shift to T+1

    Preparing for Change: What to Know About the Shift to T+1

    On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. On this episode, we hear from four individuals across FINRA about what all market participants need to be thinking about and testing ahead of the transition.

    • 27 min
    A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team

    A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team

    These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with two members of FINRA's Complex Investigations and Intelligence Team for an update on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends.

    • 34 min

Customer Reviews

4.8 out of 5
45 Ratings

45 Ratings

Mahendra S. Rathore ,

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!

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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