FINRA Unscripted
153 episodes - English - Latest episode: 11 days ago - ★★★★★ - 45 ratingsFINRA 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
Advertising Regulation: Expect More Than Just Hype
February 18, 2020 12:30 - 23 minutes - 21.3 MBIt can be a big decision for retail investors to decide how and where to invest their hard-earned cash. After all, their savings are on the line. It’s important that when making this big decision investors understand the risks—not just the hype. That’s where FINRA’s Advertising Regulation Group comes in, overseeing broker-dealer communications to ensure that they are fair, balanced and not misleading. On this episode, we talk to Amy Sochard, senior director of FINRA’s Advertising Regulat...
Encore | Insider Trading: Finding the Needle in the Haystack
February 04, 2020 12:30 - 27 minutes - 25.1 MBThis episode originally aired in December 2018. When it comes to detecting insider trading, it really is like finding a needle in a haystack with more than 15,000 different stocks, options and bonds trading every day across millions of transactions. Yet, Sam Draddy and the Insider Surveillance team in the Office of Fraud Detection and Market Intelligence manage to find those needles. The Insider Surveillance team does it by combining a lot of data—20 years’ worth of data on thousands of ac...
What Fees?: A Look at American Investor Knowledge
January 21, 2020 12:30 - 24 minutes - 22.8 MBHow 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? The FINRA Foundation’s latest study, Investors in the United States 2019, looks to uncover the answers to these questions and more to get a pulse on the investing habits of Americans On this episode of FINRA Unscripted, Gerri Walsh, president of the FINRA Foundation and...
What to Expect: The 2020 Exam and Risk Monitoring Program
January 07, 2020 12:30 - 25 minutes - 23.4 MBThe 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. We’re kicking off the new Roaring 20s with three members of the Member Supervision senior leadership team to learn what to expect from the Examination and Risk Monitoring program in the year ahead. On this episode of FINRA Unscripted, Ornella Bergeron, senior vice president of the carrying and clearing and diversified firm groups; T...
A Career Highlight: Exam and Risk Monitoring Program Transformation Update
December 10, 2019 13:41 - 20 minutes - 19.1 MBIn 2018, FINRA embarked on a large-scale transformation of its examination and risk monitoring program to make FINRA a more effective, agile and risk-focused regulator. A lot of progress has been made in the last year. The group is in the process of realigning around the business models of FINRA member firms, introducing a new single point of accountability and installing a new senior leadership team. On this episode of FINRA Unscripted, Bari Havlik, Executive Vice President of Member Sup...
Encore | How FINRA Rules Get Made (And Reviewed)
November 26, 2019 12:30 - 23 minutes - 21.2 MBThis episode originally aired in August 2018. Schoolhouse Rock taught us how a bill up on Capitol Hill becomes law. Unfortunately, they never got around to explaining how a FINRA rule proposal becomes regulation. In this episode, Phil Shaikun from FINRA’s Office of General Counsel and Jonathan Sokobin, FINRA’s Chief Economist, fill that gap and explain how lawyers and economists are working together to ensure FINRA’s rules are as effective and as tailored as possible. Plus, Shaikun and S...
The Buildathon: Creating New Technology in Service of Investors
November 12, 2019 17:30 - 28 minutes - 26.4 MBHackathons aren’t new. Silicon Valley has been using them for years and they’ve become commonplace among technologists. But what about a Buildathon? On this episode of FINRA Unscripted recorded at the first ever Buildathon in Boston, we hear from three leaders who pulled together a unique collaboration between FINRA, the private sector and academia. They discuss FinTech and the investor literacy landscape, how this event is different from other hackathons and why cross-sector partnerships c...
2019 Ketchum Prize: The Evolving World of Retirement Security
October 29, 2019 11:30 - 28 minutes - 26 MBThe way Americans think about and plan for retirement is changing. Gone are the days when Americas drop out of the workforce at 65 and hit the golf course, according to the University of Pennsylvania Wharton School’s Dr. Olivia S. Mitchell, the 2019 recipient of the Ketchum Prize. Sitting at home for 30 years or longer simply isn’t financially viable anymore. Dr. Mitchell’s research into the evolving world of retirement security earned her the 2019 Ketchum Prize, the FINRA Foundation’s hig...
Regulation Best Interest: Preparing for a New Standard of Conduct
October 15, 2019 11:30 - 23 minutes - 21.3 MBNext year, brokerage firms will have to comply with a new standard of conduct when working with retail clients with the implementation of the U.S. Securities and Exchange Commission’s new Regulation Best Interest. If you haven’t yet had time to comb through the 1,363 page rule package, on this episode we have FINRA’s Chief Legal Officer Bob Colby walk us through the rule and steps FINRA member firms will need to take to prepare for its implementation. Resources mentioned in this episode:...
Market Regulation Enforcement: Ensuring Market Integrity
October 01, 2019 11:30 - 18 minutes - 17 MBWhat happens if a brokerage firm doesn’t report trading information appropriately? At first, it might seem like it isn’t a big deal – just a data issue. But is vital. Accurate market data is at the foundation of FINRA’s efforts to ensure the integrity of our markets. On this episode of FINRA Unscripted, we are joined by Lizzie Hogan, senior vice president of Market Regulation Enforcement, to learn what her group does, how it fits under the broader Enforcement team umbrella and why market da...
The Createathon: Breaking Down Silos and Sparking Innovation
September 17, 2019 11:30 - 27 minutes - 24.9 MBIt’s easy for any company to get caught up in the status quo, too busy focusing on the challenges of today to anticipate the challenges of tomorrow. The Createathon, FINRA’s take on a hackathon, looks to prevent that by allowing employees across the organization a chance to step away from their day jobs to think differently. On this episode, we speak to two members of FINRA’s Technology team to hear how the Createathon keeps FINRA innovating and helps break down silos across the organizatio...
FINRA’s Ambassador Abroad: The International Group
September 03, 2019 11:30 - 23 minutes - 21.1 MBFrom Ireland to Malta to Colombia, foreign markets are global, so too must be FINRA’s presence. That’s where the International Group comes in as FINRA’s central point of contact for relations with foreign regulators. On this episode, we talk to FINRA’s ambassador abroad, Gloria Dalton, to hear how the group supports FINRA in seeking and sharing information, raises awareness of FINRA’s regulatory programs and contributes to the development of global securities regulation and policy. Resourc...
Collaboration, Expertise, Innovation and Responsibility: Introducing FINRA’s Values
August 20, 2019 12:00 - 28 minutes - 25.9 MBCorporate culture is defined as the way people act. But what helps people understand how to act, how to behave and how to make decisions? That’s the organization’s values. To shape the FINRA of the future, this year FINRA introduced four new corporate values—collaboration, expertise, innovation and responsibility. On this episode of FINRA Unscripted, we learn why values matter, the challenges involved with introducing new organizational values and how FINRA hopes these new values will help ...
Credit For Cooperation: Recognizing Extraordinary Efforts
August 06, 2019 11:30 - 18 minutes - 17.3 MBExtraordinary,* adjective*, very unusual or remarkable. But what does that really mean when it comes to FINRA members, both firms and individual registered representatives alike, looking to receive credit for cooperating on FINRA enforcement matters? On this episode, Susan Schroeder, executive vice president and head of FINRA Enforcement, joins us to discuss new guidance on credit for extraordinary cooperation and to dig into what kind of cooperation is expected and what is considered by FI...
Financial Capability Study, Part II: Tracking Shifting Currents of Financial Well-Being
July 23, 2019 11:30 - 20 minutes - 18.5 MBHow many Americans participate in the gig economy? Do you regret paying what you did for college? Would you avoid a medical service due to its cost? The economic concerns of Americans shift over time. That’s why the FINRA Foundation Financial Capability Study is always asking new questions to get a pulse on recent changes to American financial capability and well-being. On this episode of FINRA Unscripted, the second part of our two-part series on the 2018 Financial Capability Study, we di...
Financial Capability Study, Part I: Does a Rising Tide Lift All Boats?
July 09, 2019 09:30 - 19 minutes - 18.1 MBThe U.S. economy is improving, but not all Americans are benefiting equally. Many Americans are failing to save money, struggling with student loan debt and facing decreasing financial literacy, according to the new FINRA Foundation Financial Capability Study. On this episode of FINRA Unscripted, the first of a two-part series, Gerri Walsh and Gary Mottola of the FINRA Foundation join us to delve into the study results and their implications for researchers, policymakers, advocates and more...
Encore | How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance
June 25, 2019 16:07 - 22 minutes - 20.6 MBEvery day, FINRA processes roughly 66.7 billion market events. This includes stock orders, modifications, cancellations and trades from the moment orders are placed, as they move through the markets and are executed. And FINRA not only processes a massive amount of data each day, but also must analyze it to uncover misconduct. How does FINRA surveille this enormous volume of data to find instances of abusive activity? With exceedingly sophisticated technology and highly adept analysts in F...
DXT: Transforming the Digital Experience of Firms
June 11, 2019 13:30 - 22 minutes - 20.5 MBFINRA is in the middle of a wide-ranging, multi-year effort to revolutionize the digital experience that firms have when interacting with FINRA. The Digital Experience Transformation (DXT) is a transformation driven by firms for firms. The initiative is focusing on six solution areas that have been identified as priorities by FINRA member firms, including a simplified user experience and flexibility and automation when it comes to user-defined access to FINRA data. On this episode of FINRA...
Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik
May 28, 2019 13:51 - 31 minutes - 43.8 MBThe Annual Conference in Washington, DC, is FINRA's premier event, bringing together practitioners, peers and regulators to exchange ideas on compliance and regulatory topics and trends. On this episode of FINRA Unscripted, we take you behind the scenes of this year’s event to listen in on the first session of the three-day event: a fireside chat with FINRA’s President and Chief Executive Officer Robert Cook and Executive Vice President of Member Supervision Bari Havlik, moderated by Chip J...
Beyond Hollywood, Part II: AML Priorities and Best Practices
May 14, 2019 13:30 - 31 minutes - 513 MBThe world of money laundering is a fast-paced and ever evolving as we learned on the last episode of FINRA Unscripted. That can make it difficult for a financial firm to develop and maintain a robust anti-money laundering program. But maintaining a strong program is essential, making AML a perennial priority for FINRA’s examination staff. A robust AML program will not only safeguard the investing public and our financial markets, but it will also protect a firm’s reputation. On this episod...
Beyond Hollywood: Money Laundering in the Securities Industry
April 30, 2019 13:35 - 25 minutes - 422 MBWhen three hapless employees inadvertently embezzle a bunch of cash in the movie “Office Space,” they decide the best way to cover it up is to launder it. But the thing is, they don’t even really know what money laundering is and they learned that even the dictionary couldn’t fill them in. If you want to understand what money laundering is, and more specifically, the efforts brokerage firms must take to prevent and detect it, stay tuned. We have something better than the dictionary: we have...
2019 Budget Summary: A Look Behind the Curtain
April 16, 2019 13:30 - 25 minutes - 412 MBFINRA’s 2019 Budget Summary provides a unique view into FINRA’s budget for the current calendar year – providing greater transparency not just into FINRA’s operations, but also the self-regulatory organization’s financial guiding principles. The 2019 Budget Summary includes no fee rate increase for member firms, but projects a shortfall of $185.8 million – the result of a projected increase in operating expenses while revenues stay largely flat. But FINRA Chief Financial and Administrative...
FINRA’s Point Guard: The Central Review Group
April 02, 2019 13:30 - 26 minutes - 441 MBThe Central Review Group is the nerve center of FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI), triaging tens of thousands of matters every year. The group combs through everything from investor complaints, external tips and employee tips to disclosure events, routine regulatory filings and more to look for red flags of fraud or other concerns. If something of concern is spotted, the group determines how to escalate the situation, whether internally within FINRA or throug...
Member Relations & Education: Making Regulation Smarter
March 19, 2019 13:30 - 21 minutes - 350 MBAs a self-regulatory organization, FINRA is uniquely positioned to gain meaningful insights from its members to ensure FINRA’s regulatory programs are working for everyone. Tasked with maintaining that relationship and keeping an open dialogue is FINRA’s Office of Member Relations and Education. The Member Relations and Education team routinely engages with firms through conferences, roundtables, boot camps and more. And because they recognize that regulation isn’t simple or easy, they offe...
CRD Transformation: Enhancing the Registration & Disclosure Process
March 05, 2019 14:30 - 18 minutes - 17.1 MBFINRA’s Central Registration and Depository (CRD) system is the central licensing and registration system not just for FINRA, but also for U.S. securities exchanges and all 50 states . But the system is still partying like it’s 1999. Twenty years after the CRD system’s last major update, FINRA is in the middle of a multi-year effort to overhaul the registration and disclosure system that is the backbone of the BrokerCheck, the free tool that allows investors to research the background of th...
A Look at the FINRA Institute at Georgetown CRCP Program
February 19, 2019 14:30 - 21 minutes - 19.5 MBThe FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP) Program is designed to give careers a shot in the arm, whether you are a compliance professional, investment advisor, regulator or just someone in the financial services space. The two-week program is the premier professional development program for compliance professionals, providing not just a comprehensive look at current securities laws and regulations, but also an understanding of the regulatory ...
The Future of RegTech: The Challenges and Opportunities
February 05, 2019 14:30 - 21 minutes - 19.8 MBRegTech tools can present both tremendous opportunities and tremendous challenges for firms and regulators alike. They can also pose some interesting philosophical questions when it comes to their implementation. On this special episode of FINRA Unscripted recorded at FINRA’s RegTech conference in New York, we hear three unique perspectives on these opportunities and challenges. Joining us on this episode are: Nick Cook, head of RegTech and Advanced Analytics at the United Kingdom’s Financi...
The Annual Priorities Letter: A Fresh Take
January 22, 2019 15:00 - 21 minutes - 19.8 MBThe Annual FINRA Priorities Letter is a great resource for firms looking to improve their compliance, supervisory and risk management programs. But the 2019 Letter is a little different—this year focusing on materially new areas of focus so readers can better identify areas for program improvement. On this episode of FINRA Unscripted, we’re joined by Bari Havlik, FINRA’s executive vice president of Member Supervision, Steve Polansky, a senior director in Member Supervision, and Gene DeMaio,...
Behind the Scenes: FINRA's Board of Governors
January 08, 2019 18:35 - 17 minutes - 16.3 MBAcademics, economists, CEOs. FINRA’s Board of Governors is made up of a diverse group of individuals with diverse perspectives—a must for a group responsible for overseeing a complex organization such as FINRA. But how does someone become a member of FINRA’s Board of Governors? And what does this group do? What are its priorities for 2019? On this episode of FINRA Unscripted, Marcia Asquith, FINRA’s executive vice president of Board and External Relations answers these questions and more. ...
Bits & Bytes: A Look at Effective Cybersecurity Practices
December 20, 2018 18:00 - 25 minutes - 23 MBCybersecurity is a major challenge for everyone – companies and individuals alike. But it can be a particularly big challenge for those in the financial industry. After all, it isn’t just firm data at risk—customer data and customers’ life savings may be at stake. Cybersecurity is such a big obstacle for financial firms that this month FINRA released the “Report on Selected Cybersecurity Practices – 2018.” The new report sheds light on some effective practices for FINRA member firms when it...
Insider Trading: Finding the Needle in the Haystack
December 04, 2018 14:30 - 27 minutes - 25.2 MBWhen it comes to detecting insider trading, it really is like finding a needle in a haystack with more than 15,000 different stocks, options and bonds trading every day across millions of transactions. Yet, Sam Draddy and the Insider Surveillance team in the Office of Fraud Detection and Market Intelligence manage to find those needles. The Insider Surveillance team does it by combining a lot of data—20 years’ worth of data on thousands of actively traded bonds, stocks and equity options—wi...
Millennials and Money: How to Get Started on the Road to Investing
November 20, 2018 14:30 - 19 minutes - 17.7 MBContrary to popular belief, many millennials aren’t too keen on robo-advisors and would actually prefer to work with a professional—but don’t feel confident enough to know where to begin. What does that actually mean for young, would-be investors? On episode 19, Gerri Walsh and Gary Mottola of the FINRA Foundation joined us on the first part of this two-part series to discuss these and other misconceptions and roadblocks that millennials face in their paths to becoming investors as revealed...
Member Supervision: Introducing Bari Havlik and the Exam Program Transformation
November 06, 2018 14:30 - 14 minutes - 13.6 MBWhen Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. After a more than 30 year career in compliance with the last 14 years spent as a chief compliance officer, Bari joined FINRA with a unique perspective on what FINRA could do to better leverage its staff and its talent and skills—while also eliminating duplication and improving the examination and risk monitoring exp...
Cybersecurity Awareness Month: Stay Connected and Protected
October 23, 2018 13:30 - 22 minutes - 20.9 MBIn an era when much of our lives happen online, from banking to social media, cybersecurity is more important than ever. And we all have a role to play—not just in keeping ourselves safe, but also our employers and customers. As we become more connected, we also must also become more vigilant. But what do you do to remain secure? Whether you are a broker, an investor or just simply an internet user, we’ve got tips for you on this episode of FINRA Unscripted. In honor of National Cybersecur...
Debunked: 7 Myths about Millennials—the Underinvested Generation
October 09, 2018 13:30 - 19 minutes - 17.5 MBMillennials are on the cusp of surpassing Baby Boomers as the largest adult generation in America. Yet the soon-to-be largest generation in the nation remains substantially under-invested. Why? That is the question the FINRA Foundation and CFA Institute teamed up to answer. What they learned about this avocado toast eating, "I still live with my parents," social media-fueled FOMO generation might surprise you. Today, Gerri Walsh and Gary Mottola join us for part one of a two episode series...
The New SIE Exam: Opening Doors to the Securities Industry
September 25, 2018 13:30 - 23 minutes - 21.4 MBLooking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch a new exam that consolidates the fundamental knowledge shared across several of FINRA’s existing Series exams into a single Securities Industry Essentials (SIE) exam. Additional “top-off” exams, such as the Series 7, will be trimmed down to focus only on the specific knowledge needed for that qualification—eliminating overlap in licensing exams and creating a more efficien...
Sharing Data and Strengthening Compliance
September 11, 2018 13:30 - 19 minutes - 18 MBWhen you are growing up, you learn “sharing is caring.” At FINRA, Tom Gira’s Market Regulation and Transparency Services team takes that to heart when it comes to their surveillance data. In episode 13, Gira explained how the cloud and machine learning enable his team to sift through massive amounts of data–we're talking up to 101 billion market events in a single day–to detect misconduct. In this episode, we learn that Tom and his team aren't just keeping that data to themselves; they are ...
How FINRA Rules Get Made (And Reviewed)
August 28, 2018 13:30 - 23 minutes - 21.3 MBSchoolhouse Rock taught us how a bill up on Capitol Hill becomes law. Unfortunately, they never got around to explaining how a FINRA rule proposal becomes regulation. In this episode, Phil Shaikun from FINRA’s Office of General Counsel and Jonathan Sokobin, FINRA’s Chief Economist, fill that gap and explain how lawyers and economists are working together to ensure FINRA’s rules are as effective and as tailored as possible. Plus, Shaikun and Sokobin give an inside look into how the FINRA Re...
Fintech, Regtech & Suptech: Keeping Up with Industry Innovations
August 14, 2018 13:30 - 18 minutes - 17 MBFinancial technology (fintech) has revolutionized the financial industry. Need proof? Just ask yourself: when was the last time you went to a bank to deposit a check? From digital banking and mobile trading apps to Venmo, cryptocurrencies and blockchain, fintech has changed the way we manage our money and investments and the ways in which financial services companies reach and interact with their customers. So how are financial industry regulators keeping up with the newest developments an...
Enforcement Guiding Principles
July 31, 2018 13:30 - 20 minutes - 19.2 MBWhat are the principles that guide FINRA’s decision making when it comes to taking Enforcement action? That’s the question that’s been on the mind of FINRA’s head of Enforcement, Susan Schroeder, since she took on the role in mid-2017. One of the first things Schroeder did in her new role was to get right down to basics and define what an effective Enforcement action looks like – to identify clearly her team’s common goals. She wanted to ensure everyone in the group was asking the same ques...
How the Cloud and Machine Learning Have Transformed Market Surveillance
July 17, 2018 13:30 - 22 minutes - 20.5 MBEvery day, FINRA processes roughly 60 billion market events. This includes stock orders, modifications, cancellations and trades from the moment orders are placed, as they move through the markets and are executed. And FINRA not only processes a massive amount of data each day, but also must analyze it to uncover misconduct. How does FINRA surveille this enormous volume of data to find instances of abusive activity? With exceedingly sophisticated technology and highly adept analysts in FINR...
How the Cloud Has Revolutionized FINRA Technology
July 03, 2018 13:30 - 25 minutes - 23 MBWhen you think of financial regulation, you don’t typically think of innovation, but in fact, FINRA was an early adopter of the cloud for critical business functions. Today, FINRA has more than 30 petabytes of data in the cloud—or about 60 million years’ worth of MP3 music. With the cloud, FINRA has been able to build a massive data lake that allows its regulatory staff to conduct business more efficiently and more effectively than ever. In this episode, FINRA’s Chief Information Officer S...
What is FINRA’s Dispute Resolution Forum?
June 19, 2018 13:00 - 14 minutes - 13.2 MBFINRA operates the largest securities dispute resolution forum in the United States, with disputes resolved through arbitration and mediation. But for those unfamiliar with arbitration or mediation, it can be a confusing process. What is FINRA arbitration? How might you end up with a case in arbitration or mediation? What’s the difference between the two? What does the process look like? In this episode, FINRA’s Head of Dispute Resolution, Rick Berry, answers these questions and more. For...
ERI: Introducing FINRA’s Weatherman
June 05, 2018 14:00 - 21 minutes - 19.5 MBFINRA can’t predict the future, but like a weatherman, it can make predictions based on circumstances that exist today. Tasked with that job of figuring out what is ahead is FINRA’s Office of Emerging Regulatory Issues (ERI). ERI works to predict what storms may be brewing in the securities market, what areas of the market they are likely to impact and the likely consequences of those “storms.” This allows FINRA to ensure its resources are deployed where they are needed most. In this episo...
One Enforcement: Introducing FINRA’s New Enforcement Team
May 21, 2018 13:00 - 16 minutes - 15.5 MBConsistency and foreseeability: that’s what any regulator strives for. But when FINRA CEO Robert Cook asked around, he heard that wasn’t always the case—particularly when it came to two different enforcement teams. Last July, FINRA responded by announcing it would bring together these two teams into One Enforcement under the leadership of Susan Schroeder, FINRA’s Executive Vice President and Head of enforcement. In this episode, Susan shares what she is doing to bring these two teams toget...
The Senior Helpline: Addressing the Unique Needs of Senior Investors
May 01, 2018 00:00 - 20 minutes - 18.6 MB8: The Senior Helpline: Addressing the Unique Needs of Senior Investors “Can we make a difference? Can this actually work?” Those are the questions FINRA’s Yvette Panetta and her team asked themselves when they launched the Securities Helpline for Seniors. Three years later, the answer to both questions is clearly yes. Since April 2015, FINRA’s Senior Helpline has helped nearly 13,000 senior investors with everything from simple questions, such as “how do I find out more information about ...
One FINRA: A Commitment to Diversity and Inclusion
April 17, 2018 00:00 - 21 minutes - 19.6 MB7: One FINRA: A Commitment to Diversity and Inclusion Do you show your true self at work? Or do you censor your emotions and self-expression to align with your work’s established environment? If you censor yourself, you’re not alone. Now imagine an organization where you could bring your “100 percent authentic self” to work. FINRA’s Audria Lee explains that if diversity is being invited to the party; inclusion is being invited to dance. FINRA strives to achieve both because both are essent...
Combatting Cybersecurity Threats
February 27, 2018 00:00 - 16 minutes - 15.3 MBOur tech-connected world faces threats against our data and technology. Both people and businesses must be vigilant to avoid a breach. In this FINRA Unscripted episode, hear from John Brady, FINRA's vice president for cybersecurity, as he talks to FINRA's Mike Rote about what his team does to combat threats and tips you can use in your life to be cyber secure. Watch: Listen:
A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs
January 30, 2018 00:00 - 17 minutes - 16 MB5: A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs It is 2018. America is facing a wave of new government appointments and upcoming elections at all levels of the government. And with new leaders, come new priorities. Effective government relations are essential to FINRA’s success. So, how does FINRA navigate the changing environment? According to FINRA’s Senior Vice President of Government Affairs, Greg Dean, by building and maintaining genuine r...
Investing Smarter
December 21, 2017 00:00 - 18 minutes - 17.1 MB4: Investing Smarter Do you have student loan payments every month? If you do, you’re not alone. Almost 70 percent of US grads leave college with student debt. And many are entering the job market in debt and entirely unprepared to manage their own finances. This is exactly what happened to our guest today, Gerri Walsh. It wasn’t until Gerri’s law school graduation day that she learned how much she had incurred in student loans, and it was more than she ever imagined. So today, Gerri work...