38 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

    • 4.8, 24 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.

Customer Reviews

4.8 out of 5
24 Ratings

24 Ratings

KVL 1 ,

Informative and well done

These podcasts provide industry-leading information and lots of information for professionals in the broker-dealer industry, including lawyers. They are also very well done and entertaining. You may think a podcast about broker-dealers could be a snooze. But this is not that! Great insight and commentary.

KSB049 ,

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

Pinkfairygal ,

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.

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