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:
Revisit the latest FINRA Notices, compliance resources and news from July 2013.
Marcia Asquith, FINRA's Corporate Secretary, answers common questions about FINRA's Board of Governors elections. Note: This is the audio portion of a July 2013 installment of “A Few Minutes With FINRA,” a series of brief video segments in which senior FINRA staff discuss timely regulatory topics and respond to comments from firms on specific areas of concern.
This podcast covers guidance on communications with the public related to real estate investment programs, such as REITs and DPPs.
Revisit the latest FINRA Notices, compliance resources and news from June 2013.
This podcast, the last in a two-part series, covers how FINRA's consolidated Communications with the Public rule applies to social media and personal electronic devices.
Revisit the latest FINRA Notices, compliance resources and news from May 2013.
This podcast, the first in a two-part series, covers how FINRA's consolidated Communications with the Public rule applies to electronic communications in general.
Revisit the latest FINRA Notices, compliance resources and news from April 2013.
FINRA staff discuss examples of registered representatives’ misconduct, as featured in the April 2013 issue of FINRA's Quarterly Disciplinary Review.
The fourth podcast in a four-part series on FINRA’s 2013 regulatory and examination priorities, as addressed in FINRA’s annual letter to firms.
The third podcast in a four-part series on FINRA’s 2013 regulatory and examination priorities, as addressed in FINRA’s annual letter to firms.
Revisit the latest FINRA Notices, compliance resources and news from March 2013.
The second podcast in a four-part series on FINRA’s 2013 regulatory and examination priorities, as addressed in FINRA’s annual letter to firms.
The first podcast in a four-part series on FINRA’s 2013 regulatory and examination priorities, as addressed in FINRA’s annual letter to firms.
FINRA staff discuss examples of registered representatives’ misconduct, as featured in the October issue of FINRA's Quarterly Disciplinary Review.
