FINRA Unscripted artwork

FINRA Unscripted

151 episodes - English - Latest episode: 9 days ago - ★★★★★ - 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.

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Episodes

MRTS 2.0: A Redesign for a Rapidly Evolving Market

March 19, 2024 10:30 - 24 minutes - 22.8 MB

U.S. financial markets today are not what they were ten years ago, five years ago, or even just a couple of years ago. Over the years, FINRA's Market Regulation and Transparency Services (MRTS) team successfully grew and evolved to meet the changing demands of the markets they oversaw. But recently, the group took time to ask, how would we build this team if we were starting from scratch? And the answer to that question involved redesigning the group structure around specific functions, rath...

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

March 05, 2024 11:30 - 37 minutes - 34.2 MB

Generative Artificial Intelligence (AI) and large language models (LLM) are taking the world by storm, presenting numerous opportunities to create business efficiencies. While the new technologies offer many potential benefits to firms, regulators and investors, they also introduce unique risks.  On this episode, we hear from Brad Ahrens, senior vice president of Advanced Analytics, Andrew McElduff, vice president with Member Supervision's Risk Monitoring team and Haime Workie, vice preside...

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

February 20, 2024 11:30 - 28 minutes - 25.9 MB

The FINRA Investor Education Foundation has released a new report, Investors of Color in the United States, examining the behavior and attitudes of investors of color based on data from the FINRA Foundation's National Financial Capability Study coupled with a series of focus groups conducted with young Black/African American, Hispanic/Latino and Asian American/Pacific Islander investors.  The report shows interesting trends related to the pace at which these investors are entering the marke...

From NCFC to Enforcement Head: Reintroducing Bill St. Louis

February 06, 2024 11:30 - 26 minutes - 24.5 MB

FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors try to manipulate the markets. This tremendous undertaking demands steadfast leadership.  On this episode, we meet Bill St. Louis, the former head of FINRA’s National Cause and Financial Crimes Detection Program and FINRA's new Executive Vice President and Head of Enforcement, to learn more about the man at the helm and what's on the horizon for Enforceme...

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

January 23, 2024 11:30 - 12 minutes - 11.5 MB

FINRA recently wrapped up a targeted review of the practices of certain member firms when it comes to communicating with retail investors regarding crypto products and services. On this episode, Ira Gluck, Senior Director, Advertising Regulation at FINRA, joins us to share the results of that crypto asset communications sweep that began in November 2022. Resources mentioned in this episode: Advertising Regulation Department Crypto Asset Communications Targeted Exam Letter Crypto Asset Ke...

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

January 09, 2024 14:55 - 36 minutes - 33.7 MB

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, Ornella Bergeron, Senior Vice President of Risk Monitoring, Omer Meisel, Executive Vice President of the National Cause and Financial Crimes Detection Program, Claire O'Sullivan, Vice President and Regulatory Advisor of Stakeholder Enga...

Encore | Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning

November 28, 2023 11:30 - 27 minutes - 25.1 MB

Succession planning, catastrophe planning, contingency planning--whatever you want to call it, these plans are important not just for customers and registered representatives but can even be a matter of life or death when it comes to the continued existence of a firm.  On this episode, we talk to Jeanette Wingler, FINRA’s Special Assistant to the CEO, and Elena Schlickenmaier, a Senior Principal Analyst in Member Supervision, to dig into Regulatory Notice 22-23 on succession planning to hea...

2023 Small Firm Conference: A Fireside Chat with Robert Cook

November 16, 2023 11:30 - 13 minutes - 12.2 MB

The small firm community, those firms with 150 or fewer registered financial professionals came together in October to discuss and engage on key areas of concern at the Small Firm Conference. On this episode, we go behind the scenes of this year's event to share with you the fireside chat between FINRA CEO Robert Cook and FINRA's Head of Member Relations, Kayte Toczylowski.  Resources mentioned in this episode: FINRA Webinars FINRA Small Firm Conference Calls Office of Hearing Officers ...

Scary Money: The Latest Research from FINRA Investor Education Foundation

October 31, 2023 10:30 - 23 minutes - 21.1 MB

Forget ghosts and goblins, few things are as scary as household finances for U.S. adults. In a recent nationally representative survey, more than 1,000 adults shared what worries them most in their lives. The most common answer? Money.  On this episode, we sit down with Gerri Walsh, the head of the FINRA Investor Education Foundation, to discuss the recent survey and its findings, while also providing tips and resources to help make money a little less spooky. Resources mentioned in this e...

2023 Ketchum Prize: The Ultimate Fraud Fighter

October 17, 2023 10:30 - 29 minutes - 27.3 MB

American consumers and investors are losing billions of dollars each year to financial fraud. It's a devastating problem for which almost no one is completely immune. But the 2023 FINRA Foundation Ketchum Prize recipient has dedicated his life to understanding what makes someone susceptible to fraud—and pioneering ways to fight it. On this episode, we hear from Dr. Doug Shadel to hear about his research and years of working as one of America's most active fraud fighters. Resources mentioned...

Optimizing Efficiencies: An Update to FINRA’s MAP Transformation

October 03, 2023 10:30 - 16 minutes - 14.7 MB

FINRA oversees a diverse set of broker-dealer firms that make up a vibrant securities industry. But there's one thing all broker-dealer firms have in common. Every registered firm at one time or another must engage with FINRA's Membership Application Program, or MAP. On this episode, Jante Turner, Senior Advisor and Head of Triage for FINRA's Membership Application Program speaks about how the MAP program kicked off a significant transformation in spring 2022, and where that initiative stan...

FINRA’s Blockchain Lab: Regulation and Innovation For The Future

September 19, 2023 10:30 - 28 minutes - 26.1 MB

In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, which serves as a central point within FINRA for the development of blockchain-related regulatory initiatives. Michael Oh, Senior Director of the Blockchain Lab, Brian Huerbsch, a Senior Blockchain Data Analyst, and Jason Foye, Senior Director and head of FINRA's Crypto Hub share how the Lab is supporting and advancing FINRA's regulatory work involving cr...

A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team

September 05, 2023 10:30 - 30 minutes - 27.5 MB

As the crypto asset space has grown, FINRA has evolved its oversight of the crypto asset activities of FINRA member firms and their associated persons. In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from Jamie Udinson, Senior Director of the Crypto Asset Investigations team, Taylor Etzell, a Senior Principal Investigator, and Jason Foye, Senior Director and head of FINRA's Crypto Hub, who provide insight into FINRA's Crypto Asset ...

An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub

August 08, 2023 10:30 - 31 minutes - 29 MB

In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team.  On this episode, the first in a three-part series, we sit down with Omer Meisel, Senior Vice President of the Complex Investigations and Intelligence Group, Jason Foye, Senior Director and Head of FINRA's Crypto Hub, and Reema Abdelhamid, a Director with FINRA Enforcement to l...

Facilitation, Formation and Feedback: FINRA’s Reg Notice on the Capital Raising Process

July 25, 2023 10:30 - 18 minutes - 17.2 MB

An efficient capital raising process fosters business expansion, job creation and economic growth. And FINRA's members play an important role in this vital piece of our capital markets. Currently, FINRA's soliciting comments on the impact FINRA's Rules have on the capital formation process, as it looks for ways to increase efficiency and reduce unnecessary burdens. On this episode, we'll dig more into this process and FINRA's recent Request for Comment with Joe Price, Senior Vice President o...

Gen Z Investors: A Look at the Attitudes and Behaviors of the Youngest Investors

July 11, 2023 10:30 - 33 minutes - 30.4 MB

Gen Z is now in the market and they're beginning to invest younger than any generation before them. A new study by the FINRA Foundation and CFA Institute has taken a deep dive into the attitudes and behaviors of this latest generation of investors, the oldest of which were just 25 at the time of the study. On this episode, Andres Vinelli, Chief Economist at CFA Institute, and Gerri Walsh, President of the FINRA Foundation and Senior Vice President of Investor Education at FINRA, join us to ...

Preventing Financial Exploitation: Steps for Safeguarding Senior Investors

June 27, 2023 10:30 - 33 minutes - 30.6 MB

In honor of Elder Abuse Awareness Month, we're taking a look at FINRA's important senior investor protection efforts, including a look at FINRA Rules 2165 and 4512, the first uniform National Senior Investor Protection Standards.  On this episode, we hear from Associate General Counsel Alicia Goldin and Vice President and Associate General Counsel Jim Wrona where those rules stand today, explore some of the real-world scenarios in their application and provide tips for some of the tricky co...

The FINRA Examination Team: The Ins and Outs of FINRA’s Annual Program

June 13, 2023 10:30 - 32 minutes - 29.7 MB

FINRA's Examination team carries out a core function of FINRA's business by examining every member firm at least every four years and as often as annually, depending on the risk profile of each individual firm. These exams ensure firms remain in compliance with FINRA rules and federal securities laws and regulations and are at the heart of FINRA's mission of investor protection and market integrity.  On this episode, Michael Solomon, Senior Vice President of Examinations, Nicole McCafferty,...

In Review: Looking Forward with FINRA and Board Chair Eric Noll

May 30, 2023 10:30 - 25 minutes - 23 MB

Each year, FINRA hosts its Annual Conference in Washington, D.C. It is an event packed full of panels with information on all the latest compliance trends and emerging regulatory issues, with a number of networking opportunities spread across the three-day event. On this episode, we're taking you behind the scenes of this year's Annual Conference to listen in on a conversation between FINRA President and CEO Robert Cook and the Chair of the FINRA Board of Governors, Eric Noll. Resources men...

Enforcement and Economics: Driving Better Case Outcomes Through Collaboration

May 16, 2023 10:30 - 21 minutes - 19.3 MB

Litigation economics is not something they teach in most schools, but when it comes to unique or first of their kind enforcement matters, it's an important skill to have, whether it be in establishing sampling methodologies, the creation of a benchmark or development of restitution frameworks.  On this episode, we hear from Chris Kelly, acting Head of Enforcement, and Lori Walsh, Vice President of the Office of the Chief Economist, about how FINRA's Enforcement team has been partnering up w...

A New Twist on New Account Fraud: Detecting and Preventing ACATS Fraud

May 02, 2023 10:30 - 23 minutes - 21.5 MB

In recent months, FINRA has published two Regulatory Notices regarding the fraudulent transfer of customer accounts using an automated system called ACATS. On this episode, we'll hear all about what goes into the creation of a Reg Notice and take a deep dive on this particular issue. Plus, we'll hear about some information that didn't make it into the most recently published Notice. FINRA Unscripted welcomes three new guests, Chris Hunter, Principal Analyst with Risk Monitoring, Emily Kahn,...

2023 Senior Investor Protection Conference: The Latest Trends, Scams and Schemes

April 18, 2023 10:30 - 26 minutes - 24.5 MB

In March, FINRA hosted the Senior Investor Protection Conference, a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and other vulnerable investors from exploitation.  On this episode, we're taking an abridged look at one of the conference sessions on the various trends, scams and schemes currently impacting investors. Brooks Brown, Senior Director of FINRA's High-Risk Representative Unit, moderates the c...

FINRA's Risk Monitoring Program: Understanding the Unique Risks of Every Firm

April 04, 2023 10:30 - 33 minutes - 30.5 MB

FINRA's Risk Monitoring team is responsible for assessing financial, operational and business conduct risks that exist within individual member firms and across the industry. But they're also the day-to-day point of contact for firms for any questions they may have for FINRA.  On today's episode, we're talking to Ornella Bergeron, Senior Vice President of Member Supervision's Risk Monitoring team, Brian Kowalski, Vice President of Diversified and Carrying & Clearing with the Risk Monitoring...

Encore | Membership Application Program: Reviewing and Approving Digital Asset Firms

March 21, 2023 10:30 - 24 minutes - 22.2 MB

This episode originally aired in November 2022. The market for crypto assets has seen continued growth and firms are looking for ways to get involved in the digital asset space. So far, about two dozen firms have been approved by FINRA to provide services in securities backed by digital assets. And more firms are looking to follow in their footsteps.  On this episode, we hear from Armando Valdes, an application manager with FINRA’s Membership Application Program (MAP), and David Aman, a se...

Then and Now: Following Up with the New and Experienced Investors of 2020

March 07, 2023 16:00 - 35 minutes - 32.6 MB

In 2020, a surge of new investors entered U.S. securities markets for the very first time, and the FINRA Foundation and its research partners at NORC at the University of Chicago jumped into action to get to know just exactly who these investors were. Two years later, they followed up to see where those investors are now.  On today's episode, we're talking to Dr. Olivia Valdes, Associate Research Principal Analyst with the FINRA Investor Education Foundation and Dr. Angela Fontes, a freelan...

Introducing REMA: Thinking Differently About Rulemaking, Decision-Making, Innovation and More

February 21, 2023 11:30 - 30 minutes - 27.6 MB

FINRA recently announced the creation of a new team, the Office of Regulatory Economics and Market Analysis, which brings together FINRA's Office of the Chief Economist and the Office of Financial Innovation.  On this episode, we talk with Jonathan Sokobin, Executive Vice President and head of REMA, Haime Workie, Vice President of the Office of Financial Innovation, and Lori Walsh, Vice President of the Office of the Chief Economist about how the new team works to inform FINRA's regulatory ...

A New Tool for Compliance: FINRA’s Machine-Readable Rulebook Initiative

February 07, 2023 11:30 - 26 minutes - 24.4 MB

FINRA's new Machine-Readable Rulebook is designed to enhance firms' compliance efforts, reduce costs and aid in risk management, with a lot to gain for firms of all sizes and various business models.  On this episode, Afshin Atabaki, Associate General Counsel with FINRA's Office of General Counsel, and Haime Workie, Vice President of FINRA's Office of Financial Innovation, join us to delve into what exactly the Machine-Readable Rulebook is, how it works, and how you can start taking advanta...

Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning

January 24, 2023 11:30 - 27 minutes - 24.8 MB

Succession planning, catastrophe planning, contingency planning--whatever you want to call it, these plans are important not just for customers and registered representatives but can even be a matter of life or death when it comes to the continued existence of a firm.  On this episode, we talk to Jeanette Wingler, FINRA’s Special Assistant to the CEO, and Elena Schlickenmaier, a Senior Principal Analyst in Member Supervision, to dig into Regulatory Notice 22-23 on succession planning to hea...

2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program

January 10, 2023 14:55 - 37 minutes - 33.9 MB

The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. The 2023 Report on FINRA’s Examination and Risk Monitoring Program provides key insights and observations on two dozen key regulatory topics, making it a must-read for compliance professionals.  On this episode, Ornella Bergeron, Senior Vice President of Risk Monitoring, Michael Solomon, Senior Vice President of Examinations, and Bill St. Louis, Executive Vice President of the Na...

Gift Guide for CCOs: Top Five FINRA Compliance Tools and Resources

December 13, 2022 11:30 - 21 minutes - 19.7 MB

The festive season is here. Are you looking for the perfect gift for the compliance professional in your life? Look no further. On this episode, Kayte Toczylowski, FINRA’s vice president of Member Relations and Education, joins us to share the top five FINRA tools and resources, or gifts, if you will, that you will want to make sure you are aware of and be sure to share with all of your colleagues. Resources mentioned on this episode:  FINRA Compliance Tools FINRA Notices FINRA Targeted ...

Encore | Fraud Stoppers: FINRA’s Market Investigations Group

November 29, 2022 17:20 - 24 minutes - 22.6 MB

This episode originally aired in March 2022. Detecting and deterring fraud and insider trading is at the core of FINRA's mission of investor protection and market integrity. On this episode, Sam Draddy, the head of FINRA's Market Investigations team, joins us once again to talk about the latest trends and patterns in FINRA's fraud and insider trading investigations, including some stories about some of the craziest and most interesting cases of the past few years. Resources mentioned in th...

Enhancing Your Compliance Practice with the FINRA Institute at Georgetown CRCP Program

November 15, 2022 11:30 - 16 minutes - 15.2 MB

The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional Program is designed to give compliance, legal and regulatory professionals an in-depth understanding of the foundation, theory and practical application of securities laws and regulation.  On this episode, we hear from Jim Angel, CRCP Program Academic Director and Associate Professor with the Georgetown McDonough School of Business, and Susanne Goldsmith, a Senior Director with FINRA's Member Relations and Ed...

Membership Application Program: Reviewing and Approving Digital Asset Firms

November 01, 2022 10:30 - 24 minutes - 22.1 MB

The market for crypto assets has seen continued growth and firms are looking for ways to get involved in the digital asset space. So far, about two dozen firms have been approved by FINRA to provide services in securities backed by digital assets. And more firms are looking to follow in their footsteps.  On this episode, we hear from Armando Valdes, an application manager with FINRA’s Membership Application Program (MAP), and David Aman, a senior advisor with the Office of Financial and Ope...

2022 Ketchum Prize: Advancing Financial Inclusion and Alleviating Racial and Gender Bias in Agricultural Lending

October 18, 2022 10:30 - 25 minutes - 23.5 MB

Rural America faces financial capability and vulnerability challenges that are often difficult to address. And that is especially true for America's minority and women farmers.  On this episode, we hear from Dr. Cesar Escalante, the 2022 recipient of the FINRA Foundation Ketchum Prize, about his pioneering research into the racial and gender biases in agricultural lending, his commitment to mentoring and more. Resources mentioned in this episode: Ketchum Prize Press Release Cesar Escalan...

CE Transformation Update: Annual Regulatory Element and the Latest on the MQP

October 04, 2022 10:30 - 18 minutes - 17 MB

The implementation of the largest change to the securities industry Continuing Education program in 25 years is well under way, with a few new deadlines right around the corner.  On this episode, we hear from Patricia Monterosso and Nicole Lefort from FINRA’s Credentialing, Registration, Education and Disclosure team about how the Maintaining Qualifications Program is progressing and what firms can expect in with regard to changes to the Continuing Education Regulatory Element in the months...

FINRA Enforcement: Bringing Cases Against Individual Brokers

September 20, 2022 10:30 - 16 minutes - 15.2 MB

When it comes to bringing enforcement actions against individual brokers, there is a lot to consider, especially when the sanctions can be life altering for the individual in question.  On this episode, we hear from Deputy Head of Enforcement Chris Kelly about what makes cases against individual brokers different from those brought against firms and all the considerations involved.  Resources mentioned on this episode: FINRA Enforcement Monthly Disciplinary Actions Disciplinary Actions O...

Regulatory Operations: Stronger Regulation Through Integrated Oversight

September 06, 2022 10:30 - 33 minutes - 31.1 MB

Member Supervision, Market Regulation and Transparency Services and Enforcement. These three teams together make up Regulatory Operations or Reg Ops, which is at the very core of FINRA's efforts to protect investors and ensure fair and efficient markets for all.  On this episode, we hear Greg Ruppert, Executive Vice President of Member Supervision, Stephanie Dumont, Executive Vice President of Market Regulation and Transparency Services, and Jessica Hopper, Executive Vice President of Enfor...

Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit

August 09, 2022 10:30 - 26 minutes - 24.7 MB

The new Complex Investigations and Intelligence (CII) team and Cyber and Analytics Unit (CAU) are driving a shift in terms of how Member Supervision’s National Cause and Financial Crimes Detection Program comes at its work and leverages intelligence and analytics to drive decision making and operations.  On this episode, we hear from Omer Meisel, Vice President of CII, and Brita Bayatmakou, Senior Director of CAU, about how these changes will help FINRA better deliver on its mission of inve...

Financial Capability Study: Financial Wellbeing During a Global Pandemic

July 26, 2022 10:30 - 33 minutes - 31.1 MB

The COVID-19 pandemic disrupted many facets of American life but did not derail a trend toward increasing financial capability. Still, not all Americans are benefiting equally from improvements in financial wellbeing, according to the new FINRA Foundation Financial Capability Study.  On this episode, Gerri Walsh and Gary Mottola of the FINRA Foundation join us to delve into the latest results of this nationwide, triennial study and their implications for the financial industry, researchers,...

Encore | The Cornerstone of FINRA’s Market Surveillance Program: A Historical Commitment to Market Transparency

July 12, 2022 11:00 - 29 minutes - 26.8 MB

This episode originally aired in November 2021. Transparency plays a central role in promoting the fairness and efficiency of U.S. markets, lowering transaction costs, leveling the playing field and enhancing public trust in our markets. And the data market transparency provides serves as the lifeblood of FINRA's surveillance program. On this episode, we hear the Market Regulation and Transparency Services’ Jon Kroeper, executive vice president of the Quality of Markets Group, and Ola Pers...

Regulation Best Interest and Form CRS: Two Years In

June 28, 2022 11:00 - 38 minutes - 35.7 MB

June 30th marks the second anniversary of the implementation of Regulation Best Interest and Form CRS and we are celebrating with a deep dive into everything FINRA has learned on the topic over the last two years.  On this episode, Meredith Cordisco, associate general counsel with the Office of General Counsel, Scott Gilbert, vice president covering the large diversified firm group and alternative net capital group within Member Supervision, and Nicole McCafferty, senior director with the N...

Building a Better Future: FINRA’s Diversity, Equity & Inclusion Program

June 14, 2022 11:00 - 35 minutes - 32.4 MB

Juneteenth is a day to celebrate, but it's also a day to reflect upon the hardships that African Americans endured and the forces that continue to undermine the freedoms of Black Americans. One of the places that these forces are most clear is in the U.S. financial system, in which Black Americans and other people of color have been historically underrepresented.  On this episode, we invite you to join us in this reflection as we hear from FINRA’s Vice President of Talent Acquisition and Ch...

AML Update: The Latest Trends and Effective Practices

May 31, 2022 11:00 - 26 minutes - 23.9 MB

Money laundering looks different in the securities industry and that poses its own challenges. But add to that a landscape of constantly evolving threats and it is a lot to keep up with.  On this episode, Jason Foye, Senior Director of the National Cause and Finance Crimes Detection Program’s Special Investigative Unit joins us once again to tell us about the latest trends, emerging threats and how firms can ensure their AML program remains strong and effective.  How are we doing? Take the...

FINRA Annual Conference: Fireside Chat with Eileen Murray

May 17, 2022 11:00 - 26 minutes - 36 MB

The FINRA Annual Conference is happening now, in-person in Washington, DC, and virtually. The event is packed full of panels with information on all the latest compliance trends and emerging regulatory issues.  On today's episode, we're taking you behind the scenes of the opening plenary session, a conversation between FINRA President and CEO Robert Cook and the outgoing chair of the FINRA Board of Governors, Eileen Murray.  How are we doing? Take the FINRA Unscripted survey today. Resour...

The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512

May 03, 2022 11:00 - 24 minutes - 22.2 MB

Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in losses. That's just one reason why the protection of these investors is a top priority for FINRA.  On this episode, we hear from FINRA’s Office of General Counsel’s Jeanette Wingler and Jim Wrona about how FINRA Rules 4512 and 2165, the first uniform national senior investor protection standards, can help broker-dealer firms and representatives protect their senior and other vulnera...

MAP Transformation: Streamlining FINRA's Gatekeeper Function

April 19, 2022 11:00 - 19 minutes - 18.2 MB

Member Supervision's Membership Application Program 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. Now, the program is undergoing a transformation.  On this episode, we hear from Cindy Foster, the new head of MAP, to hear how the group is working to develop a more streamlined process to help firms and...

Encore | FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families

April 05, 2022 11:45 - 32 minutes - 30 MB

This episode originally aired in November 2021.  For service members, a missed credit card payment might do more than just ding their credit report, it could also jeopardize a hard-fought promotion. And for their spouses, move after move might be more than just a financial or logistical hardship; it might also be the biggest hurdle in their own career growth. These challenges are two sides of the same coin. The FINRA Foundation Military Spouse Fellowship Program is just one program that is ...

Fraud Stoppers: FINRA’s Market Investigations Team

March 22, 2022 11:45 - 24 minutes - 22.1 MB

Detecting and deterring fraud and insider trading is at the core of FINRA's mission of investor protection and market integrity. On this episode, Sam Draddy, the head of FINRA's Market Investigations team, joins us once again to talk about the latest trends and patterns in FINRA's fraud and insider trading investigations, including some stories about some of the craziest and most interesting cases of the past few years. How are we doing? Take the FINRA Unscripted survey today.  Resources m...

Fraud Stoppers: FINRA’s Market Investigations Group

March 22, 2022 11:45 - 24 minutes - 22.1 MB

Detecting and deterring fraud and insider trading is at the core of FINRA's mission of investor protection and market integrity. On this episode, Sam Draddy, the head of FINRA's Market Investigations team, joins us once again to talk about the latest trends and patterns in FINRA's fraud and insider trading investigations, including some stories about some of the craziest and most interesting cases of the past few years. How are we doing? Take the FINRA Unscripted survey today.  Resources m...

Report on FINRA’s Examination and Risk Monitoring Program | A Comprehensive Reference Item for Firms

March 08, 2022 12:45 - 21 minutes - 19.4 MB

In February, FINRA issued its second Report on FINRA’s Examination and Risk Monitoring program, a comprehensive document that combines elements of what used to be the annual Priorities Letter and the Examination Findings Report. The report can serve as a reference document, addressing more than 20 topics of interest for firms and regulators from Regulation Best Interest and Form CRS to cybersecurity and mobile apps.  On this episode, J Koutros, vice president of risk monitoring standards, J...

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