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FINRA Compliance Podcasts

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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

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
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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
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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
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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


2017 Exam Priorities Podcast - Part 2

3/13/2017
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This is the second 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: 00:08:12


February 2017 Monthly Recap Podcast

3/1/2017
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Revisit the latest FINRA notices, compliance resources, and news from February 2017.

Duration: 00:17:55


FINRA’s January 2017 Quarterly Disciplinary Review

1/17/2017
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FINRA staff give examples of registered representatives’ misconduct, as featured in the January 2017 issue of FINRA's Quarterly Disciplinary Review.

Duration: 00:08:13