Podcasts: FINRA Unscripted
The CE Council, FINRA and other CE Council members are working together on the biggest change to continuing education for broker dealers in 25 years. On this episode, we hear both the firm and regulatory perspective as we learn what will be changing in the years ahead.
When deciding where and in what to invest, it’s important that investors understand the risks—not just the marketing hype. That’s why FINRA’s Advertising Regulation Group works to oversee broker-dealer communications to ensure that they are fair, balanced and not misleading. On this episode, we learn more.
This episode originally aired in December 2018. More than 15,000 different stocks, options and bonds trade every day across millions of transactions. When it comes to detecting insider trading, it really is like finding a needle in a haystack. But that’s exactly what Sam Draddy and his team work to uncover.
How many Americans are investing in non-retirement accounts? How are they making decisions about where invest? How much do they truly understand about investing? And how has this all changed over time? On this episode, we dig into the FINRA Foundation’s latest study to uncover the answers to these questions and more.
The 1920s was a period of great change and transition and the 2020s are shaping up to be the same—at least for FINRA’s Examination and Risk Monitoring program. On this episode, we kick off the new Roaring 20s with a look at what to expect from the program in the year ahead.
FINRA’s examination and risk monitoring program is in the midst of a large-scale transformation to make FINRA a more effective, agile and risk-focused regulator. On this episode, Executive Vice President Bari Havlik provides an update on where the group is one year later.
This episode originally aired in August 2018. In this episode, we hear from FINRA's Chief Economist and Office of General Counsel to learn how FINRA rules are made and reviewed through the FINRA Retrospective Rule Review process.
Hackathons aren’t new. But what about a Buildathon? On this episode, we learn about a unique collaboration between FINRA, the private sector and academia that challenged some of the best technology students to solve common problems faced by everyday investors.
Dr. Olivia S. Mitchell’s research into the evolving world of retirement security earned her the 2019 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, Dr. Mitchell discusses her research and how the way Americans think about and plan for retirement is changing.
Soon brokerage firms will have to comply with a new standard of conduct when working with retail clients with the implementation of Regulation Best Interest. What is the new standard? What will firms need to do to comply? Tune in to learn more from FINRA’s Chief Legal Officer.