Podcasts: FINRA Unscripted
On this episode of FINRA Unscripted, FINRA Board Chair Scott Curtis and FINRA President and CEO Robert Cook discuss the organization's strategic priorities, FINRA Forward initiatives, and the future of the self-regulatory model. Learn how FINRA's leadership is working to adapt regulation for a changing industry while maintaining investor protection and market integrity.
On this episode of FINRA Unscripted, find out how FINRA is enhancing firm examinations through streamlined first firm exams, extended cycles for lower-risk firms, targeted data requests, and advance exam notices. Learn how these changes improve efficiency while maintaining robust investor protection and market oversight.
On this episode of FINRA Unscripted, we go behind the scenes of the market infrastructure most investors never see—from 4 a.m. trading windows to 23/5 operations and fractional shares—and learn why accurate trade reporting and transparency matter for everyone.
On this episode of FINRA Unscripted, discover how data drives securities oversight at every level, from firm examinations to suspicious trading detection. FINRA leaders discuss evolving approaches to data requests, using technology and collaboration to work smarter, reduce regulatory burden, and strengthen investor protection.
Financial security means more than wealth: it's about resilience and preparation. On this episode of FINRA Unscripted, FINRA’s Gerri Walsh discusses what financial security looks like in 2026, shares insights from recent investor research, and explains how firms can help protect and empower their customers.
Investors in the United States: Key Trends and Insights from the National Financial Capability Study
Learn more about the FINRA Investor Education Foundation latest research, Investors in the United States: Results from the FINRA Foundation’s National Financial Capability Study, which offers insights into the attitudes, behaviors, knowledge and experiences of retail investors in the U.S.
On this episode, FINRA leaders discuss the 2026 Regulatory Oversight Report, covering emerging threats from AI and crypto, evolving fraud schemes, cybersecurity risks, effective practices, and more. Learn how firms can leverage the information in the report for strengthened compliance planning.
Engagement is a two-way street at FINRA. On this episode of FINRA Unscripted, two regional committee members speak with FINRA's Kayte Toczylowski about how FINRA listens to industry feedback and takes action. Discover how member firms can actively participate in shaping regulation, access valuable resources, and build meaningful relationships.
FINRA Forward is transforming cybersecurity defense through collaborative intelligence sharing and more. On this episode of FINRA Unscripted, discover how tabletop exercises and workshops, the Cyber and Operational Resilience program, and the forthcoming Financial Intelligence Fusion Center can help FINRA member firms prevent, prepare for and respond to evolving cyber threats.
In early October, FINRA CEO Robert Cook joined Small Firm Advisory Committee Chair Preston Haxo for a conversation at FINRA’s Small Firm Conference. The two spoke about FINRA Forward, the vital role of the SFAC, the practical ways firms can engage with FINRA, and more. On this episode of FINRA Unscripted, we tune in to that conversation.