FINRA Unscripted
Summary: 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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- Artist: FINRA
- Copyright: FINRA 2018
Podcasts:
This podcast is the first episode in the Fall 2016 Firm Element Advisory four-part series. It covers transaction reporting and data dissemination.
Revisit the latest FINRA notices, compliance resources, and news from October 2016.
FINRA staff give examples of registered representatives’ misconduct, as featured in the October 2016 issue of FINRA's Quarterly Disciplinary Review.
Revisit the latest FINRA Notices, compliance resources, and news from September 2016.
Revisit the latest FINRA Notices, compliance resources, and news from August 2016.
In this podcast, we talk about some cases from FINRA’s July 2016 Quarterly Disciplinary Review. They highlight conduct that violates FINRA rules and may lead to disciplinary action.
Revisit the latest FINRA Notices, compliance resources, and news from July 2016.
Revisit the latest FINRA Notices, compliance resources, and news from June 2016.
Revisit the latest FINRA Notices, compliance resources, and news from May 2016.
This podcast is an audio recording of FINRA Chairman and CEO Rick Ketchum’s remarks at the 2016 FINRA Annual Conference.
Revisit the latest FINRA Notices, compliance resources, and news from April 2016. Hosts: Kenneth Edward Piner and Nico James. Producer: Jeff Lamoreaux.
In this podcast, we talk about some cases from FINRA’s April twenty-sixteen Quarterly Disciplinary Review. They highlight conduct that violates FINRA rules and may lead to disciplinary action.
Revisit the latest FINRA Notices, compliance resources, and news from March 2016
The final podcast in a three-part series about FINRA’s 2016 Regulatory and Examination Priorities Letter. We cover sales practice, financial and operational controls and market integrity. Hosts: Steve Polansky and Sarah Razaq.
This is the 2nd podcast in a three-part series about FINRA’s 2016 Regulatory and Examination Priorities Letter. This episode focuses on technology management and cybersecurity. Hosts: Sarah Razaq and Steve Polansky.
