121 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 • 43 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.

    Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning

    Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning

    Succession planning is important not just for customers and representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we hear how and why firms should plan for the expected and unexpected in life.

    • 27 min
    2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program

    2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program

    The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. On this episode, three Member Supervision senior leaders join us to dig into some of the new and noteworthy regulatory topics in the 2023 Report on FINRA’s Examination and Risk Monitoring Program.

    • 37 min
    Gift Guide for CCOs: Top Five FINRA Compliance Tools and Resources

    Gift Guide for CCOs: Top Five FINRA Compliance Tools and Resources

    The festive season is here. Are you looking for the perfect gift for the compliance professional in your life? Look no further. On this episode, we cover the top five FINRA compliance resources, or gifts, for compliance professionals with FINRA's Head of Member Relations and Education.

    • 21 min
    Encore | Fraud Stoppers: FINRA’s Market Investigations Group

    Encore | Fraud Stoppers: FINRA’s Market Investigations Group

    This episode originally aired in March 2022. Detecting and deterring fraud and insider trading is at the core of FINRA's mission of investor protection and market integrity. On this episode, the head of FINRA's Market Investigations team joins us once again to talk about the latest trends and patterns in FINRA's fraud and insider trading investigations, including some stories about some of the craziest and most interesting cases of the past few years.

    • 24 min
    Enhancing Your Compliance Practice with the FINRA Institute at Georgetown CRCP Program

    Enhancing Your Compliance Practice with the FINRA Institute at Georgetown CRCP Program

    The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional Program is designed to give compliance, legal and regulatory professionals an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. On this episode, we hear from the CRCP Program's Academic Director and FINRA Program Leader about what makes a CRCP Program a must for FINRA member firms and their high-performing compliance staff.

    • 16 min
    Membership Application Program: Reviewing and Approving Digital Asset Firms

    Membership Application Program: Reviewing and Approving Digital Asset Firms

    The market for crypto assets has seen continued growth and firms are looking for ways to get involved in the digital asset space. So far, about two dozen firms have been approved by FINRA to provide services in securities backed by digital assets. And more firms are looking to follow in their footsteps. On this episode, we hear about some common sticking points in these new and continuing member applications and how FINRA is working to support innovation while protecting investors in this dynamic environment.

    • 24 min

Customer Reviews

4.8 out of 5
43 Ratings

43 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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