FINRA UnscriptedAuthor: FINRA
21 Oct 2018

FINRA Unscripted

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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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    19: Debunked: 7 Myths about Millennials—the Underinvested Generation

    Millennials are on the cusp of surpassing Baby Boomers as the largest adult generation in America, yet they remain substantially under-invested. The FINRA Foundation and CFA Institute teamed up to investigate why. Today, Gerri Walsh and Gary Mottola join us to discuss their recent report, "Uncertain Futures: Seven Myths about Millennials and Investing," and uncover the misconceptions and roadblocks millennials face in their path to becoming investors.

  • Posted on 09 Oct 2018

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    18: The New SIE Exam: Opening Doors to the Securities Industry

    Looking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch the Securities Industry Essential (SIE) exam, a new exam that will test concepts fundamental to the securities industry. And you don’t have to be associated with a financial firm to take it! Today, we are joined by John Kalohn, FINRA’s Vice President of Testing & Continuing Education, whose insights might just help you ace the SIE exam.

  • Posted on 25 Sep 2018

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    17: Sharing Data and Strengthening Compliance

    In episode 13, we sat down with Tom Gira and learned how his team use machine learning to sift through billions of market events each day to detect misconduct. But FINRA isn’t just keeping that data for itself, it is sharing it with financial firms to strengthen regulatory compliance across the industry. Today, Gira joins us once again to share how his team is using the data to foster fairer markets.

  • Posted on 11 Sep 2018

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    16: How FINRA Rules Get Made (And Reviewed)

    An economist and a lawyer walk into a room. This isn’t the start of a bad joke, it’s an integral part of FINRA’s rule making process. At FINRA, economists and lawyers work closely together to ensure that FINRA’s rules are as effective and as tailored as possible. In this episode, Phil Shaikun from FINRA’s Office of General Counsel, and Jonathan Sokobin, FINRA’s Chief Economist, explain how the process works.

  • Posted on 28 Aug 2018

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    15: Fintech, Regtech & Suptech: Keeping Up with Industry Innovations

    How are financial regulators keeping up with the newest fintech developments and predicting their impact on the financial industry? Last year, FINRA launched the Innovation Outreach Initiative to address this very issues. In this episode, Haime Workie and Kavita Jain talk about the initiative itself and share their insights on the fintech innovations that are driving market activity around the world.

  • Posted on 14 Aug 2018

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