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FINRA Unscripted

By FINRA

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.

  1. 1.
    2019 Budget Summary: A Look Behind the Curtain04/16/2019
    25:01
  2. 2.
    FINRA’s Point Guard: The Central Review Group 04/02/2019
    26:44
  3. 3.
    Member Relations & Education: Making Regulation Smarter 03/19/2019
    21:15
  4. 4.
    CRD Transformation: Enhancing the Registration & Disclosure Process 03/05/2019
    18:31
  5. 5.
    A Look at the FINRA Institute at Georgetown CRCP Program 02/19/2019
    21:11
  6. 6.
    The Future of RegTech: The Challenges and Opportunities 02/05/2019
    21:28
  7. 7.
    The Annual Priorities Letter: A Fresh Take01/22/2019
    21:31
  8. 8.
    Behind the Scenes: FINRA's Board of Governors01/08/2019
    17:42
  1. 9.
    Bits & Bytes: A Look at Effective Cybersecurity Practices 12/20/2018
    25:02
  2. 10.
    Insider Trading: Finding the Needle in the Haystack12/04/2018
    27:26
  3. 11.
    Millennials and Money: How to Get Started on the Road to Investing11/20/2018
    19:13
  4. 12.
    Member Supervision: Introducing Bari Havlik and the Exam Program Transformation11/06/2018
    14:43
  5. 13.
    Cybersecurity Awareness Month: Stay Connected and Protected10/23/2018
    22:41
  6. 14.
    Debunked: 7 Myths about Millennials—the Underinvested Generation10/09/2018
    19:00
  7. 15.
    The New SIE Exam: Opening Doors to the Securities Industry09/25/2018
    23:13
  8. 16.
    Sharing Data and Strengthening Compliance09/11/2018
    19:32
  9. 17.
    How FINRA Rules Get Made (And Reviewed)08/28/2018
    23:08
  10. 18.
    Fintech, Regtech & Suptech: Keeping Up with Industry Innovations 08/14/2018
    18:25
  11. 19.
    Enforcement Guiding Principles 07/31/2018
    20:53
  12. 20.
    How the Cloud and Machine Learning Have Transformed Market Surveillance 07/17/2018
    22:19
  13. 21.
    How the Cloud Has Revolutionized FINRA Technology07/03/2018
    25:02
  14. 22.
    What is FINRA’s Dispute Resolution Forum? 06/19/2018
    14:15
  15. 23.
    ERI: Introducing FINRA’s Weatherman06/05/2018
    21:08
  16. 24.
    One Enforcement: Introducing FINRA’s New Enforcement Team05/21/2018
    16:50
  17. 25.
    The Senior Helpline: Addressing the Unique Needs of Senior Investors05/01/2018
    20:15
  18. 26.
    One FINRA: A Commitment to Diversity and Inclusion04/17/2018
    21:20
  19. 27.
    Combatting Cybersecurity Threats02/27/2018
    16:35
  20. 28.
    A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs01/30/2018
    17:20
  21. 29.
    Investing Smarter12/21/2017
    18:30
  22. 30.
    FINRA360: Building a Stronger FINRA11/28/2017
    16:50
  23. 31.
    Building A More Transparent Organization11/15/2017
    12:09
  24. 32.
    What Does FINRA’s Chief Economist Do?11/06/2017
    17:26

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