51 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

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.

    What Fees?: A Look at American Investor Knowledge

    What Fees?: A Look at American Investor Knowledge

    How many Americans are investing in non-retirement accounts? How are they making decisions about where to put that hard-earned cash? How much do they truly understand about investing? And how has this all changed over time? On this episode, we dig into the FINRA Foundation’s latest study to uncover the answers to these questions and more.

    • 24 min
    What to Expect: The 2020 Exam and Risk Monitoring Program

    What to Expect: The 2020 Exam and Risk Monitoring Program

    The 1920s was a period of great change and transition and the 2020s are shaping up to be the same—at least for FINRA’s Examination and Risk Monitoring program. On this episode, we kick off the new Roaring 20s with a look at what to expect from the program in the year ahead.

    • 25 min
    A Career Highlight: Exam and Risk Monitoring Program Transformation Update

    A Career Highlight: Exam and Risk Monitoring Program Transformation Update

    FINRA’s examination and risk monitoring program is in the midst of a largescale transformation to make FINRA a more effective, agile and risk-focused regulator. On this episode, Executive Vice President Bari Havlik provides an update on where the group is one year later.

    • 20 min
    Encore | How FINRA Rules Get Made (And Reviewed)

    Encore | How FINRA Rules Get Made (And Reviewed)

    An economist and a lawyer walk into a room. This isn’t the start of a bad joke, it’s an integral part of FINRA’s rule making process. At FINRA, economists and lawyers work closely together to ensure that FINRA’s rules are as effective and as tailored as possible. On this episode, we learn more.

    • 23 min
    The Buildathon: Creating New Technology in Service of Investors

    The Buildathon: Creating New Technology in Service of Investors

    Hackathons aren’t new. But what about a Buildathon? On this episode, we learn about a unique collaboration between FINRA, the private sector and academia that challenged some of the best technology students to solve common problems faced by everyday investors.

    • 28 min
    2019 Ketchum Prize: The Evolving World of Retirement Security

    2019 Ketchum Prize: The Evolving World of Retirement Security

    Dr. Olivia S. Mitchell’s research into the evolving world of retirement security earned her the 2019 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, Dr. Mitchell discusses her research and how the way Americans think about and plan for retirement is changing.

    • 28 min

Customer Reviews

Rob Gu'ner ,

Kaitlyn is Awesome!

Very informative.

KVL 1 ,

Informative and well done

These podcasts provide industry-leading information and lots of information for professionals in the broker-dealer industry, including lawyers. They are also very well done and entertaining. You may think a podcast about broker-dealers could be a snooze. But this is not that! Great insight and commentary.

KSB049 ,

Great resource

This is a fantastic resource for compliance professionals or any investment professional looking to learn more about FINRA and how it operates. Very easy to listen too...you’ll almost forget you are listening to something by a regulator.

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