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FINRA Unscripted

FINRA Unscripted

FINRA Unscripted

85 episodi podcast


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.

Episodi1 - 10 di 85 episodi


Building Board Diversity: FINRA’s Ongoing Commitment

Diversity has been a focus for FINRA’s Board of Governors for several years—and while t...

25 minuti
Jun 15, 2021

2021 Annual Conference: Robert Cook and Eileen Murray Fireside Chat

The 2021 FINRA Annual Conference was like no other with the event held entirely online....

25 minuti
Jun 01, 2021

Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead

The pandemic forced the world to re-evaluate how it works in a number of ways—and FINRA...

36 minuti
May 18, 2021

Advanced Analytics: Transforming Advertising Regulation

A three-day employee hackathon event a few years ago resulted in an idea that has since...

27 minuti
May 04, 2021

At, By or Through: Fraud in the Broker-Dealer Industry

The brokerage industry has an important role to play when it comes to detecting, preven...

32 minuti
Apr 20, 2021

Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead

Last year, as FINRA staff looked to adjust to a new exam and risk monitoring program st...

25 minuti
Apr 06, 2021

Year in Review: The 2020 Exam and Risk Monitoring Program

2020 was a year of great change and transition for FINRA’s Exam and Risk Monitoring Pro...

26 minuti
Mar 23, 2021

Cybersecurity: Current and Emerging Industry Priorities and Threats

Over the past year, cybersecurity has only increased in importance as huge swaths of th...

32 minuti
Mar 09, 2021

Behind the Process: How an Enforcement Action Becomes an Enforcement Action

Formal disciplinary action or informal action, settlement or complaint. Or, the one you...

26 minuti
Feb 23, 2021

Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology

This episode originally aired in September 2020.Technology is opening up new possibilit...

20 minuti
Feb 09, 2021