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FINRA Compliance Podcasts

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FINRA Podcasts provide compliance officers and other staff at broker-dealers information on regulatory topics from the largest independent securities regulator in the US.

FINRA Podcasts provide compliance officers and other staff at broker-dealers information on regulatory topics from the largest independent securities regulator in the US.
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Location:

United States

Description:

FINRA Podcasts provide compliance officers and other staff at broker-dealers information on regulatory topics from the largest independent securities regulator in the US.

Language:

English


Episodes

One FINRA: An Organization’s Commitment to Diversity and Inclusion

4/17/2018
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Do you show your true self at work? Or do you censor your emotions and self-expression to align with your work’s established environment? If you censor yourself, you’re not alone. Now imagine an organization where you could bring your “100 percent authentic self” to work. FINRA’s Audria Lee explains that if diversity is being invited to the party; inclusion is being invited to dance. FINRA strives to achieve both because both are essential to an organization’s long-term success. Diverse and...

Duration:00:21:17

Put Your Tax Refund to Work With These 5 Tips

3/13/2018
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About 70 percent of Americans expect to receive a tax refund this year. If you are one of them, FINRA’s senior vice president of Investor Education Gerri Walsh has some tips on how you can put that cash to work for you. Watch: Listen:

Duration:00:05:38

Combatting Cybersecurity Threats

2/27/2018
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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:00:17:40

How to Talk about Money with Your Valentine

2/13/2018
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“We need to talk…” Do you shy away from talking about money with your partner? Do you wonder how to start? In this FINRA Unscripted episode, hear some tips about how to do so and things to consider when Gerri Walsh, president of the FINRA Investor Education Foundation, talks with FINRA's Michelle Volpe-Kohler about talking to your Valentine about money. Watch: Listen:

Duration:00:04:36

FINRA Unscripted: A Leader’s View with FINRA's Senior Vice President for Government Affairs Greg Dean

1/30/2018
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Government affairs professionals have a unique role at a regulatory organization. Hear from FINRA's Senior Vice President of Government Affairs, Greg Dean, as he talks with FINRA's Eric Szaal about how he works with federal and state legislators, as well as other regulators, to facilitate FINRA's mission. Watch: Listen:

Duration:00:22:20

FINRA Unscripted: A Leader’s View on Investor Education with Gerri Walsh, FINRA Foundation President

12/21/2017
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Can financial mistakes lead to a life of helping others? What should you do before you invest? How can you avoid being scammed? Hear the answers when Gerri Walsh, President of the FINRA Investor Education Foundation, talks with FINRA’s Kenneth Edward Piner about her own financial journey. Watch: Listen:

Duration:00:19:03

FINRA Unscripted: A Leader’s Perspective on FINRA360 with our President & CEO, Robert Cook

11/28/2017
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Listen to FINRA President & CEO Robert Cook talk with FINRA’s head of communications, Josh Drobnyk, about the progress of FINRA360. Watch: Listen:

Duration:00:18:03

FINRA Unscripted: A Leader’s Perspective with Executive Vice President of Board and External Relations Marcia Asquith

11/15/2017
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Listen to FINRA’s Executive Vice President of Board and External Relations Marcia Asquith, talk with FINRA’s head of communications, Josh Drobnyk, about the first phase of changes to FINRA’s advisory committees to improve transparency and the committees’ effectiveness. Watch: Listen:

Duration:00:19:51

FINRA Unscripted: A Leader’s Perspective with FINRA Chief Economist Jonathan Sokobin

11/6/2017
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Listen to FINRA’s Chief Economist, Jonathan Sokobin, talk with FINRA’s head of communications, Josh Drobnyk, about the work his office does for FINRA. Sokobin also discusses his team’s recent work around microstructure and capital formation—and a related conference on market structure. Watch: Listen:

Duration:00:20:00

September 2017 Monthly Recap Podcast

10/3/2017
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Revisit the latest FINRA notices, compliance resources, and news from September 2017.

Duration:00:12:05

August 2017 Monthly Recap Podcast

9/5/2017
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Revisit the latest FINRA notices, compliance resources, and news from August 2017.

Duration:00:10:06

FINRA’s July 2017 Quarterly Disciplinary Review

8/16/2017
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FINRA staff give examples of registered representatives’ misconduct, as featured in the July 2017 issue of FINRA's Quarterly Disciplinary Review.

Duration:00:07:43

Podcast: July 2017 Monthly Recap

8/2/2017
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Revisit the latest FINRA Notices, compliance resources, and news from July 2017.

Duration:00:09:54

Podcast: June 2017 Monthly Recap

7/3/2017
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Revisit the latest FINRA Notices, compliance resources, and news from June 2017.

Duration:00:07:55

May 2017 Monthly Recap Podcast

6/5/2017
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Revisit the latest FINRA notices, compliance resources, and news from May 2017.

FINRA’s April 2017 Quarterly Disciplinary Review

5/15/2017
More
FINRA staff give examples of registered representatives’ misconduct, as featured in the April 2017 issue of FINRA's Quarterly Disciplinary Review.

Duration:00:08:48

April 2017 Monthly Recap Podcast

5/1/2017
More
Revisit the latest FINRA notices, compliance resources, and news from April 2017.

Duration:00:15:15

FINRA’s Monthly Podcast – March 2017

4/4/2017
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Revisit the latest FINRA notices, compliance resources, and news from March 2017.

Duration:00:14:16

2017 Exam Priorities Podcast – Part 4

3/27/2017
More
This is the fourth in a four-part podcast series with highlights from the 2017 Exam Priorities Letter recently sent to FINRA member firms detailing the specific priorities FINRA examiners will be looking for during the coming year.

Duration:00:04:58

2017 Exam Priorities Podcast – Part 3

3/20/2017
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This is the third in a four-part podcast series with highlights from the 2017 Exam Priorities Letter recently sent to FINRA member firms detailing the specific priorities FINRA examiners will be looking for during the coming years.

Duration:00:06:58

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