148 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 • 45 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.

    MRTS 2.0: A Redesign for a Rapidly Evolving Market

    MRTS 2.0: A Redesign for a Rapidly Evolving Market

    Recently, FINRA's Market Regulation and Transparency Services (MRTS) team realigned its structure around specific functions, rather than around specific rules or products. On this episode, we hear from three of the group's senior leaders to learn how the change allows MRTS to be more nimble in addressing and anticipating risks, to better leverage its data and more.

    • 24 min
    An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry

    An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry

    While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space.

    • 37 min
    Investors of Color: New Insights from FINRA’s Investor Education Foundation

    Investors of Color: New Insights from FINRA’s Investor Education Foundation

    On this episode, we dig into a new report from the FINRA Investor Education Foundation, Investors of Color in the United States, that highlights interesting trends related to the pace at which Black/African American, Hispanic/Latino and Asian American/Pacific Islander investors are entering the market, their views on risk, where they're receiving information and more.

    • 28 min
    From NCFC to Enforcement Head: Reintroducing Bill St. Louis

    From NCFC to Enforcement Head: Reintroducing Bill St. Louis

    FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we meet Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.

    • 26 min
    Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam

    Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam

    On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.

    • 12 min
    2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report

    2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report

    As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, we hear from four leaders within FINRA's Member Supervision department to discuss highlights from the 2024 report.

    • 36 min

Customer Reviews

4.8 out of 5
45 Ratings

45 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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