This browser doesn't support Spotify Web Player. Switch browsers or download Spotify for your desktop.

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.
    2020 Ketchum Prize: The Financial Security of Americans with Disabilities10/13/2020
    30:51
  2. 2.
    Excessive Trading: When A Lot Becomes Too Much09/29/2020
    15:54
  3. 3.
    Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology09/21/2020
    20:24
  4. 4.
    FINRA’s R&D Program: Exploring the Future of Advanced Analytics09/01/2020
    26:28
  5. 5.
    The Ombudsman: FINRA’s Confidential, Independent Resource08/18/2020
    23:31
  6. 6.
    Encore | Beyond Hollywood: Money Laundering in the Securities Industry08/04/2020
    25:38
  7. 7.
    Virtual Conference Panels: Fireside Chat on Current Issues07/21/2020
    16:21
  8. 8.
    Regulation Best Interest: Implementing a New Standard of Conduct07/07/2020
    31:55
  1. 9.
    Protecting the Most Vulnerable: How FINRA Enforcement Prioritizes Senior Investors06/23/2020
    17:31
  2. 10.
    COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis06/09/2020
    21:04
  3. 11.
    Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs05/26/2020
    23:49
  4. 12.
    FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad05/12/2020
    26:02
  5. 13.
    Market Structure & COVID-19: Handling Increased Volatility and Volumes04/28/2020
    28:24
  6. 14.
    Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection04/14/2020
    26:34
  7. 15.
    Business in the Time of COVID-19: BCPs, Regulatory Relief & More03/31/2020
    18:58
  8. 16.
    The MAP Group: Gatekeeper to the Broker-Dealer Industry03/17/2020
    23:02
  9. 17.
    FINRA & CE Council: Enhancing Industry Continuing Education03/03/2020
    25:13
  10. 18.
    Advertising Regulation: Expect More Than Just Hype02/18/2020
    23:16
  11. 19.
    Encore | Insider Trading: Finding the Needle in the Haystack02/04/2020
    27:23
  12. 20.
    What Fees?: A Look at American Investor Knowledge01/21/2020
    24:51
  13. 21.
    What to Expect: The 2020 Exam and Risk Monitoring Program01/07/2020
    25:35
  14. 22.
    A Career Highlight: Exam and Risk Monitoring Program Transformation Update12/10/2019
    20:53
  15. 23.
    Encore | How FINRA Rules Get Made (And Reviewed)11/26/2019
    23:09
  16. 24.
    The Buildathon: Creating New Technology in Service of Investors11/12/2019
    28:48
  17. 25.
    2019 Ketchum Prize: The Evolving World of Retirement Security10/29/2019
    28:24
  18. 26.
    Regulation Best Interest: Preparing for a New Standard of Conduct10/15/2019
    23:14
  19. 27.
    Market Regulation Enforcement: Ensuring Market Integrity10/01/2019
    18:36
  20. 28.
    The Createathon: Breaking Down Silos and Sparking Innovation09/17/2019
    27:10
  21. 29.
    FINRA’s Ambassador Abroad: The International Group09/03/2019
    23:03
  22. 30.
    Collaboration, Expertise, Innovation and Responsibility: Introducing FINRA’s Values08/20/2019
    28:17
  23. 31.
    Credit For Cooperation: Recognizing Extraordinary Efforts08/06/2019
    18:51
  24. 32.
    Financial Capability Study, Part II: Tracking Shifting Currents of Financial Well-Being07/23/2019
    20:11
  25. 33.
    Financial Capability Study, Part I: Does a Rising Tide Lift All Boats?07/09/2019
    19:43
  26. 34.
    Encore | How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance06/25/2019
    22:27
  27. 35.
    DXT: Transforming the Digital Experience of Firms06/11/2019
    22:23
  28. 36.
    Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik05/28/2019
    31:51
  29. 37.
    Beyond Hollywood, Part II: AML Priorities and Best Practices05/14/2019
    31:08
  30. 38.
    Beyond Hollywood: Money Laundering in the Securities Industry04/30/2019
    25:35
  31. 39.
    2019 Budget Summary: A Look Behind the Curtain04/16/2019
    25:01
  32. 40.
    FINRA’s Point Guard: The Central Review Group04/02/2019
    26:44
  33. 41.
    Member Relations & Education: Making Regulation Smarter03/19/2019
    21:15
  34. 42.
    CRD Transformation: Enhancing the Registration & Disclosure Process03/05/2019
    18:31
  35. 43.
    A Look at the FINRA Institute at Georgetown CRCP Program02/19/2019
    21:11
  36. 44.
    The Future of RegTech: The Challenges and Opportunities02/05/2019
    21:28
  37. 45.
    The Annual Priorities Letter: A Fresh Take01/22/2019
    21:31
  38. 46.
    Behind the Scenes: FINRA's Board of Governors01/08/2019
    17:42
  39. 47.
    Bits & Bytes: A Look at Effective Cybersecurity Practices12/20/2018
    25:02
  40. 48.
    Insider Trading: Finding the Needle in the Haystack12/04/2018
    27:26
  41. 49.
    Millennials and Money: How to Get Started on the Road to Investing11/20/2018
    19:13
  42. 50.
    Member Supervision: Introducing Bari Havlik and the Exam Program Transformation11/06/2018
    14:43
  43. 51.
    Cybersecurity Awareness Month: Stay Connected and Protected10/23/2018
    22:41
  44. 52.
    Debunked: 7 Myths about Millennials—the Underinvested Generation10/09/2018
    19:00
  45. 53.
    The New SIE Exam: Opening Doors to the Securities Industry09/25/2018
    23:13
  46. 54.
    Sharing Data and Strengthening Compliance09/11/2018
    19:32
  47. 55.
    How FINRA Rules Get Made (And Reviewed)08/28/2018
    23:08
  48. 56.
    Fintech, Regtech & Suptech: Keeping Up with Industry Innovations08/14/2018
    18:25
  49. 57.
    Enforcement Guiding Principles07/31/2018
    20:53
  50. 58.
    How the Cloud and Machine Learning Have Transformed Market Surveillance07/17/2018
    22:19
  51. 59.
    How the Cloud Has Revolutionized FINRA Technology07/03/2018
    25:02
  52. 60.
    What is FINRA’s Dispute Resolution Forum?06/19/2018
    14:15
  53. 61.
    ERI: Introducing FINRA’s Weatherman06/05/2018
    21:08
  54. 62.
    One Enforcement: Introducing FINRA’s New Enforcement Team05/21/2018
    16:50
  55. 63.
    The Senior Helpline: Addressing the Unique Needs of Senior Investors05/01/2018
    20:15
  56. 64.
    One FINRA: A Commitment to Diversity and Inclusion04/17/2018
    21:19
  57. 65.
    Combatting Cybersecurity Threats02/27/2018
    16:35
  58. 66.
    A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs01/30/2018
    17:20
  59. 67.
    Investing Smarter12/21/2017
    18:30
  60. 68.
    FINRA360: Building a Stronger FINRA11/28/2017
    16:50
  61. 69.
    Building A More Transparent Organization11/15/2017
    12:09
  62. 70.
    What Does FINRA’s Chief Economist Do?11/06/2017
    17:26

Listen to FINRA Unscripted now.

Listen to FINRA Unscripted in full in the Spotify app