Sep 7, 2021
Make Your Voice Heard: FINRA's Regional Committees
20 minutes
Podcast · Inglés
FINRA Unscripted
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.
Episodes
Ordered by publication date.
Aug 24, 2021
The Journey to the Cloud: Implications for the Securities Industry
28 minutes
Jul 13, 2021
Introducing Stephanie Dumont
24 minutes
Jun 29, 2021
FINRA’s Financial Intelligence Unit: Connecting the Dots
22 minutes
Jun 15, 2021
Building Board Diversity: FINRA’s Ongoing Commitment
25 minutes
Jun 1, 2021
2021 Annual Conference: Robert Cook and Eileen Murray Fireside Chat
25 minutes
May 18, 2021
Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead
36 minutes
May 4, 2021
Advanced Analytics: Transforming Advertising Regulation
27 minutes
Apr 20, 2021
At, By or Through: Fraud in the Broker-Dealer Industry
32 minutes
Apr 6, 2021
Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead
25 minutes
Mar 23, 2021
Year in Review: The 2020 Exam and Risk Monitoring Program
26 minutes
Mar 23, 2021
Year in Review: The 2020 Exam and Risk Monitoring Program
26 minutes
Mar 9, 2021
Cybersecurity: Current and Emerging Industry Priorities and Threats
32 minutes
Feb 23, 2021
Behind the Process: How an Enforcement Action Becomes an Enforcement Action
26 minutes
Feb 9, 2021
Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology
20 minutes
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