FINRA Unscripted

Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. On this episode, two members of FINRA’s Office of Financial Innovation join us to discuss the group’s latest report on cloud computing.

In March, Stephanie Dumont became the new Executive Vice President of FINRA’s Market Regulation and Transparency Services department. On this episode, we sit down with Stephanie to hear her priorities, her vision for the department, and how FINRA is responding to recent market events.

Intelligence means different things to different people. But for FINRA, at its most basic, it is the actionable information that allows employees, from an organization’s senior executives to its examiners or investigators, to make informed decisions. On this episode, we sit down to learn about FINRA’s new Financial Intelligence Unit, and how it is looking to transform how FINRA takes in, analyzes, and shares data.

Diversity has been a focus for FINRA’s Board of Governors for several years— and recently the Board achieved a significant milestone from a diversity perspective. On this episode we talk to FINRA’s Corporate Secretary and Deputy Corporate Secretary to hear how FINRA’s Board of Governors got to where it is today, and also to hear why diversity very much remains a perpetual work in progress.

The 2021 FINRA Annual Conference was like no other with the event held entirely online. On this episode, take a behind-the-scenes look at the fireside chat between FINRA CEO Robert Cook and FINRA Board Chair Eileen Murray as they talk about everything from return to work to the importance of diversity, equity and inclusion.

The pandemic forced the world to re-evaluate how it works—and FINRA’s Arbitration & Mediation Forum was no exception. To keep processes moving, FINRA Dispute Resolution Services allowed hearings to proceed virtually. A year later, we are looking at lessons learned, tips for practicing remotely and plans for the future of arbitration and mediation.

An employee hackathon event a few years ago resulted in an idea that has since transformed the way FINRA’s Advertising Regulation group does its work. On this episode, we learn about the impressive collaborative effort to build a tool to apply advanced analytics and machine learning to the review of firm communications with the public.

The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. On this episode, we hear from the head of FINRA's National Cause and Financial Crimes Detection Programs about recent trends and how firms can work to protect themselves and their customers.

Last year, as FINRA staff looked to adjust to a new exam and risk monitoring program structure, the industry and the world was struck with an unprecedented global crisis. On this episode, the second in a two-part series, we hear how the program adapted in the face of the pandemic before looking ahead to priorities for 2021.

2020 was a year of great change and transition for FINRA’s Exam and Risk Monitoring Program—and the pandemic wasn’t even the start of it. On this episode, the first in a two-part series, we hear how the program faired in its first year after a major transformation.

Cybersecurity has only increased in importance as huge swaths of the workforce continue to work remotely. On this episode, two FINRA cybersecurity experts share how FINRA handled the transition and areas of focus for 2021. Plus, learn why you should think twice before trying to brush that piece of hair off your phone screen.

Formal disciplinary action or informal action, settlement or complaint. Or, the one you never hear about: no action. There are a lot of possible outcomes for an Enforcement investigation. On this episode, Jessica Hopper, head of FINRA Enforcement, walks us through the Enforcement process and the many steps in the process.

This episode originally aired in September 2020. Technology is opening up new possibilities when it comes to solving business challenges. And that's important when it comes to optimizing an organization's most valuable limited resource: its people. On this episode, Member Supervision's new head of Data Analytics and Technology explains how FINRA is augmenting its examination and risk monitoring program.

For the last couple of years, FINRA has been working to revolutionize the digital experience of firms, particularly when it comes to registration and disclosure. Recently, many of these changes have come to life through the new FINRA Gateway and an enhanced Form U4 filing experience. On this episode, we learn more about what’s new and what to expect next.

FINRA’s Member Relations & Education team is responsible for ensuring FINRA's regulatory programs are working for everyone and for maintaining a strong relationship with FINRA's member firms. But with a new group head looking back on an unprecedented year, the Member Relations & Education team is reimaging the future of member engagement.