87 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.

    Introducing Stephanie Dumont

    Introducing Stephanie Dumont

    In March, Stephanie Dumont became the new Executive Vice President of FINRA’s Market Regulation and Transparency Services department. On this episode, we sit down with Stephanie to hear her priorities, her vision for the department, and how FINRA is responding to recent market events.

    • 24 min
    FINRA’s Financial Intelligence Unit: Connecting the Dots

    FINRA’s Financial Intelligence Unit: Connecting the Dots

    Intelligence means different things to different people. But for FINRA, at its most basic, it is the actionable information that allows employees, from an organization’s senior executives to its examiners or investigators, to make informed decisions. On this episode, we sit down to learn about FINRA’s new Financial Intelligence Unit, and how it is looking to transform how FINRA takes in, analyzes, and shares data.

    • 22 min
    Building Board Diversity: FINRA’s Ongoing Commitment

    Building Board Diversity: FINRA’s Ongoing Commitment

    Diversity has been a focus for FINRA’s Board of Governors for several years— and recently the Board achieved a significant milestone from a diversity perspective. On this episode we talk to FINRA’s Corporate Secretary and Deputy Corporate Secretary to hear how FINRA’s Board of Governors got to where it is today, and also to hear why diversity very much remains a perpetual work in progress.

    • 25 min
    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

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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