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FINRA Unscripted

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Location:

United States

Twitter:

@finra

Language:

English

Contact:

212-858-5258


Episodes

17: Sharing Data and Strengthening Compliance

9/11/2018
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In episode 13, we sat down with Tom Gira and learned how his team use machine learning to sift through billions of market events each day to detect misconduct. But FINRA isn’t just keeping that data for itself, it is sharing it with financial firms to strengthen regulatory compliance across the industry. Today, Gira joins us once again to share how his team is using the data to foster fairer markets.

Duration:00:19:32

16: How FINRA Rules Get Made (And Reviewed)

8/28/2018
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An economist and a lawyer walk into a room. This isn’t the start of a bad joke, it’s an integral part of FINRA’s rule making process. At FINRA, economists and lawyers work closely together to ensure that FINRA’s rules are as effective and as tailored as possible. In this episode, Phil Shaikun from FINRA’s Office of General Counsel, and Jonathan Sokobin, FINRA’s Chief Economist, explain how the process works.

Duration:00:23:08

15: Fintech, Regtech & Suptech: Keeping Up with Industry Innovations

8/14/2018
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How are financial regulators keeping up with the newest fintech developments and predicting their impact on the financial industry? Last year, FINRA launched the Innovation Outreach Initiative to address this very issues. In this episode, Haime Workie and Kavita Jain talk about the initiative itself and share their insights on the fintech innovations that are driving market activity around the world.

Duration:00:18:25

14: Enforcement Guiding Principles

7/31/2018
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What are the principles that guide FINRA’s decision making when it comes to taking Enforcement action? That’s the question that’s been on the mind of FINRA’s head of Enforcement, Susan Schroeder, since she took on the role in mid-2017. In this episode, Susan rejoins us to discuss how getting back to basics is helping her build a more effective Enforcement team.

Duration:00:20:53

13: How the Cloud and Machine Learning Have Transformed Market Surveillance

7/17/2018
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In episode 12 we sat down with Steve Randich and learned how the cloud provides FINRA with the storage space and computing power to process up to 101 billion market events in a single day. Today, we sit down with FINRA’s head of Market Regulation and Transparency Services, Tom Gira, to hear how the cloud and machine learning enable his team to more efficiently and effectively sift through this massive amount of data to detect misconduct.

Duration:00:22:18

12: How the Cloud Has Revolutionized FINRA Technology

7/3/2018
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FINRA now has more than 30 petabytes of data in the cloud—to put that into the context of MP3 music files that would be about 60 million years of easy listening. In this episode, FINRA’s Chief Information Officer Steve Randich joins us to discuss how the use of the cloud has fundamentally changed FINRA’s technology strategy.

Duration:00:25:02

11: What is FINRA’s Dispute Resolution Forum?

6/19/2018
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What is FINRA’s Dispute Resolution forum? How might I end up with a case in arbitration or mediation? What does the process look like? FINRA’s Head of Dispute Resolution, Rick Berry, answers these questions and more in this episode of FINRA Unscripted.

Duration:00:14:15

10: ERI: Introducing FINRA’s Weatherman

6/5/2018
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FINRA can’t predict the future, but like a weatherman, it can make predictions based on circumstances that exist today. FINRA’s Office of Emerging Regulatory Issues (ERI) looks to predict what storms may be brewing in the securities market and what areas they are likely to impact.

Duration:00:21:08

9: One Enforcement: Introducing FINRA’s New Enforcement Team

5/21/2018
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Consistency and foreseeability: that’s what any regulator strives for. But when FINRA CEO Robert Cook asked around, he heard that wasn’t always the case—particularly when it came to two different enforcement teams. That’s why FINRA’s Susan Schroeder has taken on the task of bring together these two teams into One Enforcement. Here’s how she’s doing it.

Duration:00:16:50

8: The Senior Helpline: Addressing the Unique Needs of Senior Investors

4/30/2018
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Senior investors may have unique needs that elevate the need for expedited attention with securities brokerage concerns. For three years, FINRA’s Securities Helpline for Seniors has been working to address those needs. Here’s how.

Duration:00:20:15

7: One FINRA: A Commitment to Diversity and Inclusion

4/16/2018
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Diversity and inclusion are good for business. The financial services industry may not be known for its diverse workforce or inclusive culture, but FINRA is aiming to change that perception. Hear FINRA leaders share strategies and actions you can take to drive a more diverse and inclusive workplace.

Duration:00:21:19

6: Combatting Cybersecurity Threats

2/26/2018
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Our tech-connected world faces threats against our data and technology. Both people and businesses must be vigilant to avoid a breach. In this FINRA Unscripted episode, hear from John Brady, FINRA's vice president for cybersecurity, as he talks to FINRA's Mike Rote about what his team does to combat threats and tips you can use in your life to be cyber secure. Watch: Listen:

Duration:00:17:41

5: A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs

1/29/2018
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It is 2018. America is facing a wave of new government appointments and upcoming elections at all levels of the government. And with new leaders, come new priorities. How does FINRA navigate the changing environment? We are in the nation’s capital with FINRA’s Senior Vice President of Government Affairs Greg Dean to learn how.

Duration:00:22:22

4: Investing Smarter

12/20/2017
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Do you have student loan debt? If you do, you’re not alone. Almost 70 percent of students graduate with student debt—and many entering the job market in debt are unprepared to manage their own finances. That was the case for Gerri Walsh. Gerri now leads FINRA’s investor education efforts and is here today to help make us all smarter investors.

Duration:00:19:04

3: FINRA360: Building a Stronger FINRA

11/27/2017
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How can FINRA become a better, more effective regulator? That’s the question Robert Cook is looking to answer by soliciting feedback from financial firms, investors and other stakeholders. FINRA360 is the program through which he is turning the answer to the question into realty.

Duration:00:18:05

2: Building A More Transparent Organization

11/14/2017
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Long before transparency was a buzzword, it was central to FINRA’s mission. Transparent markets and educated investors ensure our markets remain strong and public trust in our markets remain high. Today, we sit down with FINRA’s Marcia Asquith, EVP for Board and External Relations, to hear how FINRA is improving transparency not only in financial markets, but also in its own operations.

Duration:00:19:53

1: What Does FINRA’s Chief Economist Do?

11/5/2017
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FINRA has an obligation to think through the impact of its rules. What is the problem we are trying to solve? How does this rule or solution solve that problem? Is it the best solution to the problem? Our Chief Economist Jonathan Sokobin asks those tough questions and more.

Duration:00:20:02