FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad

Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team: On this episode, we hear from members of both the Vulnerable Adults and Seniors Intake and Investigations teams to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors. by FINRA Unscripted

34 min listen

Preparing for Change: What to Know About the Shift to T+1: On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. On this episode, we hear from four individuals across FINRA about what all market participants need to be thinking about and testing ahead of the transition. by FINRA Unscripted

27 min listen

A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team: These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with two members of FINRA's Complex Investigations and Intelligence Team for an update on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends. by FINRA Unscripted

35 min listen

MRTS 2.0: A Redesign for a Rapidly Evolving Market: Recently, FINRA's Market Regulation and Transparency Services (MRTS) team realigned its structure around specific functions, rather than around specific rules or products. On this episode, we hear from three of the group's senior leaders to learn how the change allows MRTS to be more nimble in addressing and anticipating risks, to better leverage its data and more. by FINRA Unscripted

25 min listen

An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry: While Generative AI and large language models present numerous opportunities to create business efficiencies and offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space. by FINRA Unscripted

37 min listen

Investors of Color: New Insights from FINRA’s Investor Education Foundation: On this episode, we dig into a new report from the FINRA Investor Education Foundation, Investors of Color in the United States, that highlights interesting trends related to the pace at which Black/African American, Hispanic/Latino and Asian American/Pacific Islander investors are entering the market, their views on risk, where they're receiving information and more. by FINRA Unscripted

28 min listen

From NCFC to Enforcement Head: Reintroducing Bill St. Louis: FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we meet Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year. by FINRA Unscripted

27 min listen

Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam: On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services. by FINRA Unscripted

13 min listen

2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report: As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, we hear from four leaders within FINRA's Member Supervision department to discuss highlights from the 2024 report. by FINRA Unscripted

37 min listen

Encore | Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning: Succession planning is important not just for customers and representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we hear how and why firms should plan for the expected and unexpected in life. by FINRA Unscripted

27 min listen

2023 Small Firm Conference: A Fireside Chat with Robert Cook: The small firm community, those firms with 150 or fewer registered financial professionals came together in October to discuss and engage on key areas of concern at the Small Firm Conference. On this episode, we go behind the scenes of this year's event to share with you the fireside chat between FINRA CEO Robert Cook and FINRA's Head of Member Relations, Kayte Toczylowski. by FINRA Unscripted

13 min listen

Scary Money: The Latest Research from FINRA Investor Education Foundation: In a recent nationally representative survey, more than 1,000 adults shared what worries them most in their lives. On this episode, we sit down with the head of the FINRA Investor Education Foundation to discuss the recent survey and its findings, while also providing tips and resources to help make money a little less spooky. by FINRA Unscripted

23 min listen

2023 Ketchum Prize: The Ultimate Fraud Fighter: The 2023 FINRA Foundation Ketchum Prize recipient has dedicated his life to understanding what makes someone susceptible to fraud—and pioneering ways to fight it. On this episode, we hear from Dr. Doug Shadel to hear about his research and years of working as one of America's most active fraud fighters. by FINRA Unscripted

30 min listen

Optimizing Efficiencies: An Update to FINRA’s MAP Transformation: FINRA oversees a diverse set of broker-dealer firms that make up a vibrant securities industry. Every registered firm at one time or another must engage with FINRA's Membership Application Program, or MAP. In this episode, we learn more about MAP and some of the recent and ongoing enhancements to the program. by FINRA Unscripted

16 min listen

FINRA’s Blockchain Lab: Regulation and Innovation For The Future: In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, which serves as a central point within FINRA for the development of blockchain-related regulatory initiatives to learn about how the Lab is supporting and advancing FINRA's regulatory work involving crypto assets. by FINRA Unscripted

29 min listen

A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team: In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from FINRA's Crypto Asset Investigations Team. This dedicated group of investigators specialize in conducting complex crypto asset investigations and share more about the crucial role it plays in ensuring compliance with existing rules and regulations in the crypto asset space. by FINRA Unscripted

30 min listen

An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub: In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, the first in a three-part series, we learn more about the strategy and the role of the Hub. by FINRA Unscripted

32 min listen

Facilitation, Formation and Feedback: FINRA’s Reg Notice on the Capital Raising Process: An efficient capital raising process fosters business expansion, job creation and economic growth. Currently, FINRA’s soliciting comments on the impact FINRA's Rules have on the capital formation process, as it looks for ways to increase efficiency and reduce unnecessary burdens. On this episode, we'll dig more into this process and FINRA's recent Request for Comment. by FINRA Unscripted

19 min listen

Gen Z Investors: A Look at the Attitudes and Behaviors of the Youngest Investors: Gen Z is beginning to invest younger than any generation before them. On this episode, we take a deep dive into a new study by the FINRA Foundation and the CFA Institute looking at the attitudes and behaviors of Gen Z investors, including the role of crypto as an onramp, the use of social media and more. by FINRA Unscripted

33 min listen

Preventing Financial Exploitation: Steps for Safeguarding Senior Investors: In recent years, FINRA created the first uniform National Senior Investor Protection Standards. On this episode, we hear an update on where those senior investor protection rules stand today, explore some of the real-world scenarios in their application and provide tips for some of the tricky conversations that financial professionals might face in connection to their application. by FINRA Unscripted

33 min listen

The FINRA Examination Team: The Ins and Outs of FINRA’s Annual Program: FINRA's Examination team carries out a core function of FINRA's business by examining every member firm at least every four years and as often as annually, depending on the risk profile of each individual firm. On this episode, leaders from FINRA's Exam program join us for a deep dive into how the program works and what firms can expect during routine firm exams. by FINRA Unscripted

32 min listen

In Review: The Future of FINRA with Board Chair Eric Noll: Each year, FINRA hosts its Annual Conference in Washington, D.C. packed full of panels with information on all the latest compliance trends and emerging regulatory issues. On this episode, we're taking you behind the scenes of this year's Annual Conference to listen in on a conversation between FINRA President and CEO Robert Cook and the Chair of the FINRA Board of Governors, Eric Noll. by FINRA Unscripted

25 min listen

Enforcement and Economics: Driving Better Case Outcomes Through Collaboration: Litigation economics is not something they teach in most schools, but when it comes to unique or first of their kind enforcement matters, it's an important skill to have. On this episode, we hear how FINRA's Enforcement team has been partnering up with the Office of Regulatory Economics and Market Analysis to ensure better case outcomes. by FINRA Unscripted

21 min listen

A New Twist on New Account Fraud: Detecting and Preventing ACATS Fraud: In recent months, FINRA has published two Regulatory Notices regarding the fraudulent transfer of customer accounts using an automated system called ACATS. On this episode, we'll hear all about what goes into the creation of a Reg Notice and take a deep dive on this particular issue. by FINRA Unscripted

23 min listen

2023 Senior Investor Protection Conference: The Latest Trends, Scams and Schemes: In March, FINRA hosted the Senior Investor Protection Conference, a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and other vulnerable investors from exploitation. On this episode, we're taking an abridged look at one of the conference sessions on the various trends, scams and schemes currently impacting investors. by FINRA Unscripted

27 min listen

FINRA's Risk Monitoring Program: Understanding the Unique Risks of Every Firm: FINRA's Risk Monitoring team is responsible for assessing financial, operational and business conduct risks that exist within individual member firms and across the industry. But they're also the day-to-day point of contact for firms for any questions they may have for FINRA. On this episode, we hear how they spot and track risks across similar firms. by FINRA Unscripted

33 min listen

Encore | Membership Application Program: Reviewing and Approving Digital Asset Firms: The market for crypto assets has seen continued growth and firms are looking for ways to get involved in the digital asset space. So far, about two dozen firms have been approved by FINRA to provide services in securities backed by digital assets. And more firms are looking to follow in their footsteps. On this episode, we hear about some common sticking points in these new and continuing member applications and how FINRA is working to support innovation while protecting investors in this dynamic environment. by FINRA Unscripted

24 min listen

Then and Now: Following Up with the New and Experienced Investors of 2020: In 2020, a surge of new investors entered U.S. securities markets for the very first time, and the FINRA Foundation and its research partners at NORC at the University of Chicago jumped into action to get to know just exactly who these investors were. Two years later, they followed up to see where those investors are now. by FINRA Unscripted

36 min listen

Introducing REMA: Thinking Differently About Rulemaking, Decision-Making, Innovation and More: Earlier this year, FINRA announced the creation of a new team, the Office of Regulatory Economics and Market Analysis, which brings together FINRA's Office of the Chief Economist and the Office of Financial Innovation. On this episode, we talk to three leaders from the new group to hear about its mandate and how the new team works to inform FINRA's regulatory policies and programs to advance its mission of investor protection and market integrity. by FINRA Unscripted

30 min listen

A New Tool for Compliance: FINRA’s Machine-Readable Rulebook Initiative: FINRA's new Machine-Readable Rulebook is designed to enhance firms' compliance efforts, reduce costs and aid in risk management, with a lot to gain for firms of all sizes and various business models. On this episode, we hear what exactly the Machine-Readable Rulebook is, how it works, and how you can start taking advantage of all it has to offer. by FINRA Unscripted

27 min listen

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FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad

FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad

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