90 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.

    Single Points of Accountability: Navigating Firms’ Experiences with FINRA

    Single Points of Accountability: Navigating Firms’ Experiences with FINRA

    As part of FINRA’s Member Supervision Transformation, each firm was assigned a Single Point of Accountability – a senior leader in Member Supervision that helps firms navigate their experience with FINRA. On this episode, we are joined by two SPOAs to learn more about their roles and priorities.

    • 19 min
    Make Your Voice Heard: FINRA's Regional Committees

    Make Your Voice Heard: FINRA's Regional Committees

    As a Self-Regulatory Organization, FINRA benefits from the expertise and industry knowledge of member firms to react more quickly to emerging challenges and write more effective and efficient regulations. FINRA’s Regional Committees play an important role in this process, supplying FINRA with real-time insights that help us fulfill our mission of investor protection and market integrity. On this episode, we learn more.

    • 20 min
    The Journey to the Cloud: Implications for the Securities Industry

    The Journey to the Cloud: Implications for the Securities Industry

    Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. On this episode, two members of FINRA’s Office of Financial Innovation join us to discuss the group’s latest report on cloud computing.

    • 28 min
    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

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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