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FINRA Unscripted show

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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Podcasts:

 FINRA’s 2016 Regulatory and Examination Priorities Letter – Part 1 | File Type: audio/mpeg | Duration: Unknown

This is the first podcast in a three-part series about FINRA’s 2016 Regulatory and Examination Priorities Letter.

 FINRA’s Monthly Recap – February 2016 | File Type: audio/mpeg | Duration: Unknown

Revisit the latest FINRA Notices, compliance resources, and news from February 2016.

 FINRA's January 2016 Quarterly Disciplinary Review | File Type: audio/mpeg | Duration: Unknown

In this podcast, we focus on cases from FINRA’s January twenty-sixteen Quarterly Disciplinary Review. These cases highlight conduct that violates FINRA rules and may lead to disciplinary action.

 Fall 2015 Firm Element Advisory – Part 2 | File Type: audio/mpeg | Duration: Unknown

Second of a four-part series on the Fall 2015 Firm Element Advisory. This series highlights new and updated topics firms should consider for their Firm Element training plans. This episode focuses on Municipal Securities.

 FINRA’s Research Conflicts – Part 3 | File Type: audio/mpeg | Duration: Unknown

FINRA’s 2015 Research Conflicts Rules, part 3 of this four-part series highlights new rules about conflicts of interest related to publication and distribution of research reports.

 Fall 2015 Firm Element Advisory – Part 1 | File Type: audio/mpeg | Duration: Unknown

First of a four-part series on the Fall 2015 Firm Element Advisory. This series highlights new and updated topics firms should consider for their Firm Element training plans.

 Research Conflicts Rules – Part 2 | File Type: audio/mpeg | Duration: Unknown

Part 2 of this four-part series highlights new rules about conflicts of interest related to publication and distribution of research reports.

 FINRA’s Monthly Recap – November 2015 | File Type: audio/mpeg | Duration: Unknown

Revisit the latest FINRA Notices, compliance resources, and news from November 2015.

 Research Conflicts Rules – Part 1 | File Type: audio/mpeg | Duration: Unknown

The first in a four-part series about new FINRA rules for conflicts of interest related to research reports. This episode covers some parts of the equity research conflicts rule.

 FINRA’s Monthly Recap – October 2015 | File Type: audio/mpeg | Duration: Unknown

Revisit the latest FINRA Notices, compliance resources, and news from October 2015.

 FINRA’s October 2015 Quarterly Disciplinary Review | File Type: audio/mpeg | Duration: Unknown

FINRA staff give examples of registered representatives’ misconduct, as featured in the October 2015 issue of FINRA's Quarterly Disciplinary Review.

 FINRA’s Monthly Recap – September 2015 | File Type: audio/mpeg | Duration: Unknown

Revisit the latest FINRA Notices, compliance resources, and news from September 2015.

 FINRA’s Monthly Recap – August 2015 | File Type: audio/mpeg | Duration: Unknown

Revisit the latest FINRA Notices, compliance resources, and news from August 2015.

 FINRA’s 2015 Regulatory and Examination Priorities Part 5 | File Type: audio/mpeg | Duration: Unknown

Part five of this six-part series about FINRA's 2015 Regulatory and Examination Priorities highlights financial and operational priorities.

 FINRA’s Monthly Recap – July 2015 | File Type: audio/mpeg | Duration: Unknown

Revisit the latest FINRA Notices, compliance resources, and news from July 2015.

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