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FINRA Unscripted

FINRA

1
Followers
8
Plays
FINRA Unscripted

FINRA Unscripted

FINRA

1
Followers
8
Plays
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About Us

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.

Latest Episodes

Protecting the Most Vulnerable: How FINRA Enforcement Prioritizes Senior Investors

You can't talk about investor protection without talking about senior investors. With a substantial increase in recent years in the number of cases involving the exploitation of seniors, FINRA Enforcement has made protecting this segment of the population a priority. On this episode, we hear what FINRA is doing and how firms can work with FINRA in this important effort.

17 MIN2 w ago
Comments
Protecting the Most Vulnerable: How FINRA Enforcement Prioritizes Senior Investors

COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis

The COVID-19 pandemic is unlike any other crisis in recent history, which presents an opportunity to criminals who are flexible and adaptable. That means firms and regulators must be flexible and adaptable too. So FINRA created a COVID-19 Task Force to help FINRA tackle emerging issues to quickly protect investors and our markets.

21 MINJUN 9
Comments
COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis

Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs

Between the level of interconnectedness on the web and the sheer about of data available, we’re living in an era ripe for the perpetration of financial fraud. That makes it more important than ever for FINRA to have a holistic view of emerging trends and risks—and the ability to coordinate closely with other regulators and law enforcement. FINRA’s new National Cause and Financial Crimes Detection Programs (NCFC) aims to be the nerve center to do just that.

23 MINMAY 26
Comments
Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs

FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad

FINRA Enforcement works on the front lines of investor protection—not just now, as some look to take advantage of these uncertain time to defraud investors or manipulate the markets – but always. On this episode, we meet Jessica Hopper, FINRA’s new Head of Enforcement, to hear what her team is doing today to prevent investor harm and to keep our markets fair.

26 MINMAY 12
Comments
FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad

Market Structure & COVID-19: Handling Increased Volatility and Volumes

Market volatility in recent weeks has surpassed anything else in history in terms of both the extremity and duration. Despite that, the so-called plumbing of U.S. financial markets has held up remarkably well. On this episode, we talk to FINRA’s head of Market Regulation to learn how the evolution of U.S. market structure contributed to that resilience.

28 MINAPR 28
Comments
Market Structure & COVID-19: Handling Increased Volatility and Volumes

Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection

FINRA is committed to the protection of senior investors and other vulnerable adults. That’s why FINRA launched the Securities Helpline for Seniors. On this episode, we hear how the Helpline handles calls, frequent areas of concern and how the Helpline has evolved over the five years since its launch.

26 MINAPR 14
Comments
Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection

Business in the Time of COVID-19: BCPs, Regulatory Relief & More

The new coronavirus that causes COVID-19 has rapidly changed the way U.S. broker-dealers must conduct business as states implement various shelter-in-place and stay-at-home orders, forcing workers remote. On this episode, we talk to FINRA’s Chief Legal Officer and Head of Member Supervision to learn how FINRA is adapting its operations and providing important regulatory relief.

18 MINMAR 31
Comments
Business in the Time of COVID-19: BCPs, Regulatory Relief & More

The MAP Group: Gatekeeper to the Broker-Dealer Industry

The MAP Group is the gatekeeper to the broker-dealer industry. It works both to protect investors by ensuring would-be firms meet FINRA’s standards of admission and to help new and existing firms grow and evolve, ensuring a vibrant market for all. On this episode, we learn more.

22 MINMAR 17
Comments
The MAP Group: Gatekeeper to the Broker-Dealer Industry

FINRA & CE Council: Enhancing Industry Continuing Education

The CE Council, FINRA and other CE Council members are working together on the biggest change to continuing education for broker dealers in 25 years. On this episode, we hear both the firm and regulatory perspective as we learn what will be changing in the years ahead.

25 MINMAR 3
Comments
FINRA & CE Council: Enhancing Industry Continuing Education

Advertising Regulation: Expect More Than Just Hype

When deciding where and in what to invest, it’s important that investors understand the risks—not just the marketing hype. That’s why FINRA’s Advertising Regulation Group works to oversee broker-dealer communications to ensure that they are fair, balanced and not misleading. On this episode, we learn more.

23 MINFEB 18
Comments
Advertising Regulation: Expect More Than Just Hype

Latest Episodes

Protecting the Most Vulnerable: How FINRA Enforcement Prioritizes Senior Investors

You can't talk about investor protection without talking about senior investors. With a substantial increase in recent years in the number of cases involving the exploitation of seniors, FINRA Enforcement has made protecting this segment of the population a priority. On this episode, we hear what FINRA is doing and how firms can work with FINRA in this important effort.

17 MIN2 w ago
Comments
Protecting the Most Vulnerable: How FINRA Enforcement Prioritizes Senior Investors

COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis

The COVID-19 pandemic is unlike any other crisis in recent history, which presents an opportunity to criminals who are flexible and adaptable. That means firms and regulators must be flexible and adaptable too. So FINRA created a COVID-19 Task Force to help FINRA tackle emerging issues to quickly protect investors and our markets.

21 MINJUN 9
Comments
COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis

Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs

Between the level of interconnectedness on the web and the sheer about of data available, we’re living in an era ripe for the perpetration of financial fraud. That makes it more important than ever for FINRA to have a holistic view of emerging trends and risks—and the ability to coordinate closely with other regulators and law enforcement. FINRA’s new National Cause and Financial Crimes Detection Programs (NCFC) aims to be the nerve center to do just that.

23 MINMAY 26
Comments
Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs

FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad

FINRA Enforcement works on the front lines of investor protection—not just now, as some look to take advantage of these uncertain time to defraud investors or manipulate the markets – but always. On this episode, we meet Jessica Hopper, FINRA’s new Head of Enforcement, to hear what her team is doing today to prevent investor harm and to keep our markets fair.

26 MINMAY 12
Comments
FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad

Market Structure & COVID-19: Handling Increased Volatility and Volumes

Market volatility in recent weeks has surpassed anything else in history in terms of both the extremity and duration. Despite that, the so-called plumbing of U.S. financial markets has held up remarkably well. On this episode, we talk to FINRA’s head of Market Regulation to learn how the evolution of U.S. market structure contributed to that resilience.

28 MINAPR 28
Comments
Market Structure & COVID-19: Handling Increased Volatility and Volumes

Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection

FINRA is committed to the protection of senior investors and other vulnerable adults. That’s why FINRA launched the Securities Helpline for Seniors. On this episode, we hear how the Helpline handles calls, frequent areas of concern and how the Helpline has evolved over the five years since its launch.

26 MINAPR 14
Comments
Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection

Business in the Time of COVID-19: BCPs, Regulatory Relief & More

The new coronavirus that causes COVID-19 has rapidly changed the way U.S. broker-dealers must conduct business as states implement various shelter-in-place and stay-at-home orders, forcing workers remote. On this episode, we talk to FINRA’s Chief Legal Officer and Head of Member Supervision to learn how FINRA is adapting its operations and providing important regulatory relief.

18 MINMAR 31
Comments
Business in the Time of COVID-19: BCPs, Regulatory Relief & More

The MAP Group: Gatekeeper to the Broker-Dealer Industry

The MAP Group is the gatekeeper to the broker-dealer industry. It works both to protect investors by ensuring would-be firms meet FINRA’s standards of admission and to help new and existing firms grow and evolve, ensuring a vibrant market for all. On this episode, we learn more.

22 MINMAR 17
Comments
The MAP Group: Gatekeeper to the Broker-Dealer Industry

FINRA & CE Council: Enhancing Industry Continuing Education

The CE Council, FINRA and other CE Council members are working together on the biggest change to continuing education for broker dealers in 25 years. On this episode, we hear both the firm and regulatory perspective as we learn what will be changing in the years ahead.

25 MINMAR 3
Comments
FINRA & CE Council: Enhancing Industry Continuing Education

Advertising Regulation: Expect More Than Just Hype

When deciding where and in what to invest, it’s important that investors understand the risks—not just the marketing hype. That’s why FINRA’s Advertising Regulation Group works to oversee broker-dealer communications to ensure that they are fair, balanced and not misleading. On this episode, we learn more.

23 MINFEB 18
Comments
Advertising Regulation: Expect More Than Just Hype
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