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:
Part four of this six-part series about FINRA’s 2015 Regulatory and Examination Priorities covers sales practice priorities like senior investors and anti-money laundering.
-- Part three of this six-part series about FINRA’s 2015 Regulatory and Examination Priorities highlights sales practice priorities like supervision, IRA rollovers, and private placements.
Revisit the latest FINRA Notices, compliance resources, and news from June 2015.
Part two of this six-part series about FINRA’s 2015 Regulatory and Examination Priorities focuses on sales practice priorities for products, such as fixed income products, variable annuities, and alternate funds.
Part one of this six-part series about FINRA's 2015 Regulatory and Examination Priorities focuses on lessons learned over the past decade of annual priorities letters.
This podcast is the third in a three-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council's Spring 2015 Firm Element Advisory.
Revisit the latest FINRA Notices, compliance resources, and news from May 2015.
This podcast is an audio recording of FINRA Chairman and CEO Rick Ketchum’s remarks at the 2015 FINRA Annual Conference.
Revisit the latest FINRA Notices, compliance resources, and news from January 2015
FINRA staff discuss examples of registered representatives’ misconduct, as featured in the January 2015 issue of FINRA's Quarterly Disciplinary Review.
This podcast is the last in a three-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council's Fall 2014 Firm Element Advisory.
Revisit the latest FINRA Notices, compliance resources, and news from December 2014.
This podcast is the second in a three-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council's Fall 2014 Firm Element Advisory.
Revisit the latest FINRA Notices, compliance resources, and news from November 2014.
This podcast is the first in a three-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council's Fall 2014 Firm Element Advisory.
