FINRA Unscripted

FINRA
  • 4.7 (43)
  • GOVERNMENT
  • UPDATED SEMIMONTHLY
FINRA Unscripted

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.

  1. NOV 12

    Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry

    In the securities world today, there is little daylight between money laundering and fraud. On this episode, we learn how FINRA’s Special Investigations Unit works to detect and investigate cases of illicit finance and market abuse, as well as how they proactively identify and mitigate threats.

    30 min

  2. OCT 29

    The Forgotten Generation: Shining a Spotlight on Gen X’s Financial Health

    Gen X is often called the Forgotten Generation given how often they’re overlooked in favor of conversation around boomers, millennials or now even Gen Z. But on this episode, Gen X is the one in the spotlight as we dig into the financial health of those born between 1965 and 1980 and, importantly, their perception of their financial well-being.

    34 min

  3. OCT 15

    The Latest Research: Why Do Targets Engage with Scams?

    Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? On this episode, we dig into the research on these important questions with three academics in the field.

    35 min

  4. OCT 1

    The Victim Experience: When Romance Leads to a Crypto Scam

    Falling victim to a scam carries more than just a financial impact. It can be an isolating experience and exact a mental and emotional toll. On this episode, we hear about the experience of two real life victims and their efforts to recover from their loss with the help of the Cybercrime Support Network. y.

    27 min

  5. SEP 17

    Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation

    Last week, FINRA CEO Robert Cook spoke at a conference hosted by the FINRA Foundation to underscore the importance of working together to disrupt the cycle of fraud. He highlighted specific areas for further coordination and announced that FINRA will reach out operators of existing regulatory databases to explore ways to create a one-stop shop resource for investor research. On this episode, we tune in to his remarks.

    20 min

  6. SEP 3

    FINRA’s Examination Program: Optimizing for the Future

    FINRA’s Examinations team has undertaken changes to create efficiencies before, during and after the exam process to continuously improve the program. On this episode, three senior leaders of the team join us to detail some of the recent changes, including the introduction of thematic reviews, changes to the post-exam closeout process and more.

    36 min

  7. AUG 6

    FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets

    FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.

    23 min

  8. JUL 23

    An Update on FINRA’s Crypto Asset Work and the Crypto Hub

    Last summer, we introduced listeners to FINRA’s Crypto Hub, an enterprise-wide strategy for keeping up with the evolving crypto asset regulatory landscape. On this episode, we have three members of the hub join us to provide an update on that work to dig into the results of a recent survey of member firms regarding their crypto asset touch points to tell us about the new spot Bitcoin ETP market and more.

    20 min
See All (164)

4.7
out of 5
43 Ratings

About

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.

Information

  • Creator
    FINRA
  • Years Active
    2006 - 2024
  • Episodes
    164
  • Rating
    Clean
  • Copyright
    © FINRA 2018
  • Show Website
    FINRA Unscripted

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