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
FINRA360: Building a Stronger FINRA
November 28, 2017 00:00 - 16 minutes - 15.5 MB3: FINRA360: Building a Stronger FINRA How can FINRA become a better, more effective regulator? That’s the question President and CEO Robert Cook is looking to answer. In 2017, Cook introduced FINRA360, a multi-year initiative to process and act upon feedback about how FINRA could do better. Cook has solicited feedback at every turn – internally, from FINRA member firms, from investors and investor advocates and other stakeholders. In this episode, Cook highlights some of the major accomp...
Building A More Transparent Organization
November 15, 2017 00:00 - 12 minutes - 11.2 MB2: Building A More Transparent Organization Long before transparency was a buzzword, it was central to FINRA’s mission. Transparent markets and educated investors ensure our markets remain strong and public trust in our markets remain high. But FINRA is a self-regulatory organization (SRO), which means that transparency is also essential to FINRA’s model. In 2017, FINRA published a special notice requesting comment on potential enhancements to its engagement programs. One year later, FINR...
What Does FINRA’s Chief Economist Do?
November 06, 2017 00:00 - 17 minutes - 16.1 MBWhat Does FINRA’s Chief Economist Do? Regulation has consequences. It is a regulator’s job to consider those consequences and weight the impact of regulation to ensure that it is appropriately tailored. What is the problem we are trying to solve? How does this rule or solution solve that problem? Is it the best solution to the problem? How does it impact business development? FINRA’s Office of the Chief Economist asks those tough questions and more to help make FINRA a better self-regulato...