FINRA UnscriptedAuthor: FINRA
16 Jan 2019

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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    25: Behind the Scenes: FINRA's Board of Governors

    Academics, 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. Learn more about the composition and responsibilities of the Board of Governors on this episode of FINRA Unscripted.

  • Posted on 08 Jan 2019

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    24: Bits & Bytes: A Look at Effective Cybersecurity Practices

    Cybersecurity is a major challenge for everyone – but it can be a particularly big challenge for those in the financial industry. That’s why FINRA released a new report highlighting effective cybersecurity practices for FINRA member firms. Learn more in this episode of FINRA Unscripted.

  • Posted on 20 Dec 2018

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    23: Insider Trading: Finding the Needle in the Haystack

    More than 15,000 different stocks, options and bonds trade every day across millions of transactions. When it comes to detecting insider trading, it really is like finding a needle in a haystack. But that’s exactly what Sam Draddy and his team in the Office of Fraud Detection and Market Intelligence group do. Learn how in this episode of FINRA Unscripted.

  • Posted on 04 Dec 2018

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    22: Millennials and Money: How to Get Started on the Road to Investing

    Contrary 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. In this episode, Gerri Walsh and Gary Mottola of the FINRA Foundation rejoin us to turn some of the myths from “Uncertain Futures: Seven Myths about Millennials and Investing” into actionable information.

  • Posted on 20 Nov 2018

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    21: Member Supervision: Introducing Bari Havlik and the Exam Program Transformation

    When 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. In this episode, Bari shares her vision for the future and how her background in compliance has shaped her views.

  • Posted on 06 Nov 2018

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