84 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 • 41 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.

    2021 Annual Conference: Robert Cook and Eileen Murray Fireside Chat

    2021 Annual Conference: Robert Cook and Eileen Murray Fireside Chat

    The 2021 FINRA Annual Conference was like no other with the event held entirely online. On this episode, take a behind-the-scenes look at the fireside chat between FINRA CEO Robert Cook and FINRA Board Chair Eileen Murray as they talk about everything from return to work to the importance of diversity, equity and inclusion.

    • 25 min
    Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead

    Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead

    The pandemic forced the world to re-evaluate how it works—and FINRA’s Arbitration & Mediation Forum was no exception. To keep processes moving, FINRA Dispute Resolution Services allowed hearings to proceed virtually. A year later, we are looking at lessons learned, tips for practicing remotely and plans for the future of arbitration and mediation.

    • 36 min
    Advanced Analytics: Transforming Advertising Regulation

    Advanced Analytics: Transforming Advertising Regulation

    An employee hackathon event a few years ago resulted in an idea that has since transformed the way FINRA’s Advertising Regulation group does its work. On this episode, we learn about the impressive collaborative effort to build a tool to apply advanced analytics and machine learning to the review of firm communications with the public.

    • 27 min
    At, By or Through: Fraud in the Broker-Dealer Industry

    At, By or Through: Fraud in the Broker-Dealer Industry

    The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. On this episode, we hear from the head of FINRA's National Cause and Financial Crimes Detection Programs about recent trends and how firms can work to protect themselves and their customers.

    • 32 min
    Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead

    Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead

    Last year, as FINRA staff looked to adjust to a new exam and risk monitoring program structure, the industry and the world was struck with an unprecedented global crisis. On this episode, the second in a two-part series, we hear how the program adapted in the face of the pandemic before looking ahead to priorities for 2021.

    • 25 min
    Year in Review: The 2020 Exam and Risk Monitoring Program

    Year in Review: The 2020 Exam and Risk Monitoring Program

    2020 was a year of great change and transition for FINRA’s Exam and Risk Monitoring Program—and the pandemic wasn’t even the start of it. On this episode, the first in a two-part series, we hear how the program faired in its first year after a major transformation.

    • 26 min

Customer Reviews

4.8 out of 5
41 Ratings

41 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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