FINRA Unscripted

By FINRABusiness Government Investing

FINRA Unscripted episodes

September 03, 2019 FINRA’s Ambassador Abroad: The International Group
From Ireland to Malta to Colombia, foreign markets are global, so too must be FINRA’s presence. That’s where the International Group comes in as FINRA’s central point of contact for relations with foreign regulators.
On this episode, we talk to FINRA’s ambassador abroad, Gloria Dalton, to hear how the group supports FINRA in seeking and sharing information, raises awareness of FINRA’s regulatory programs and contributes to the development of global securities regulation and policy.
Resources mentioned in this episode:
SEC Office of International Affairs
Episode 10: ERI: Introducing FINRA’s Weatherman
Episode 27: The Future of RegTech
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24 min
August 20, 2019 Collaboration, Expertise, Innovation and Responsibility: Introducing FINRA’s Values
Corporate culture is defined as the way people act. But what helps people understand how to act, how to behave and how to make decisions? That’s the organization’s values.
To shape the FINRA of the future, this year FINRA introduced four new corporate values—collaboration, expertise, innovation and responsibility. On this episode of FINRA Unscripted, we learn why values matter, the challenges involved with introducing new organizational values and how FINRA hopes these new values will help drive the organization forward.
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29 min
August 06, 2019 Credit For Cooperation: Recognizing Extraordinary Efforts
Extraordinary,* adjective*, very unusual or remarkable. But what does that really mean when it comes to FINRA members, both firms and individual registered representatives alike, looking to receive credit for cooperating on FINRA enforcement matters?
On this episode, Susan Schroeder, executive vice president and head of FINRA Enforcement, joins us to discuss new guidance on credit for extraordinary cooperation and to dig into what kind of cooperation is expected and what is considered by FINRA Enforcement. Plus, we hear how FINRA will work to provide more transparency around credit for extraordinary cooperation going forward.
Resources mentioned in this episode:
Regulatory Notice 19-23: Updated Guidance on Credit for Extraordinary Cooperation
Regulatory Notice 08-70: Guidance on Credit for Extraordinary Cooperation
Episode 14: Enforcement Guiding Principals
Rule 4530: Reporting Requirements
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19 min
July 23, 2019 Financial Capability Study, Part II: Tracking Shifting Currents of Financial Well-Being
How many Americans participate in the gig economy? Do you regret paying what you did for college? Would you avoid a medical service due to its cost?
The economic concerns of Americans shift over time. That’s why the FINRA Foundation Financial Capability Study is always asking new questions to get a pulse on recent changes to American financial capability and well-being.
On this episode of FINRA Unscripted, the second part of our two-part series on the 2018 Financial Capability Study, we dig into these questions and emerging trends and more.
Resources mentioned in this episode:
2018 National Financial Capability Study
FINRA Foundation
NFCS Financial Literacy Quiz
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21 min
July 09, 2019 Financial Capability Study, Part I: Does a Rising Tide Lift All Boats?
The U.S. economy is improving, but not all Americans are benefiting equally. Many Americans are failing to save money, struggling with student loan debt and facing decreasing financial literacy, according to the new FINRA Foundation Financial Capability Study.
On this episode of FINRA Unscripted, the first of a two-part series, Gerri Walsh and Gary Mottola of the FINRA Foundation join us to delve into the study results and their implications for researchers, policymakers, advocates and more.
Resources mentioned in this episode:
2018 National Financial Capability Study
FINRA Foundation
Episode 19: Debunked: 7 Myths about Millennials
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20 min
June 25, 2019 Encore | How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance
Every day, FINRA processes roughly 66.7 billion market events. This includes stock orders, modifications, cancellations and trades from the moment orders are placed, as they move through the markets and are executed. And FINRA not only processes a massive amount of data each day, but also must analyze it to uncover misconduct.
How does FINRA surveille this enormous volume of data to find instances of abusive activity? With exceedingly sophisticated technology and highly adept analysts in FINRA’s Market Regulation and Transparency Services group. Today we sit down with Tom Gira the head of the department and a 25-year veteran of FINRA.
Tom explains how FINRA’s use of technology, specifically the cloud and machine learning, has improved FINRA’s quality of regulation, furthering the organization’s mission of market integrity and investor protection.
This episode originally aired in July 2018.
Resources mentioned in this episode:
Options Clearing Corporation
FINRA Market Regulation
FINRA Ad Hoc Committees
12: How the Cloud Has Revolutionized FINRA Technology
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23 min
June 11, 2019 DXT: Transforming the Digital Experience of Firms
FINRA is in the middle of a wide-ranging, multi-year effort to revolutionize the digital experience that firms have when interacting with FINRA. The Digital Experience Transformation (DXT) is a transformation driven by firms for firms.
The initiative is focusing on six solution areas that have been identified as priorities by FINRA member firms, including a simplified user experience and flexibility and automation when it comes to user-defined access to FINRA data.
On this episode of FINRA Unscripted, two members of FINRA’s Technology team tell us how this project can enhance compliance and reduce costs for member firms.
Resources mentioned in this episode:
DXT Website
Episode 29: CRD Transformation
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23 min
May 28, 2019 Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik
The Annual Conference in Washington, DC, is FINRA's premier event, bringing together practitioners, peers and regulators to exchange ideas on compliance and regulatory topics and trends.
On this episode of FINRA Unscripted, we take you behind the scenes of this year’s event to listen in on the first session of the three-day event: a fireside chat with FINRA’s President and Chief Executive Officer Robert Cook and Executive Vice President of Member Supervision Bari Havlik, moderated by Chip Jones, Senior Vice President of Member Relations and Education.
It’s not too soon to reserve your spot for the 2020 event. Don’t miss out, register today.
Resources mentioned in this episode:
FINRA360 Progress Report
How to Get Involved: FINRA Committees
2019 Annual Budget Summary
Report on Use of 2018 Fine Monies
Episode 21: Member Supervision: Introducing Bari Havlik and the Exam Program Transformation
Episode 14: Enforcement Guiding Principles
Reg Notice 18-08: Outside Business Activities
CAT Website
Reg Notice 19-17: Protecting Investors from Misconduct
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32 min
May 14, 2019 Beyond Hollywood, Part II: AML Priorities and Best Practices
The world of money laundering is a fast-paced and ever evolving as we learned on the last episode of FINRA Unscripted. That can make it difficult for a financial firm to develop and maintain a robust anti-money laundering program.
But maintaining a strong program is essential, making AML a perennial priority for FINRA’s examination staff. A robust AML program will not only safeguard the investing public and our financial markets, but it will also protect a firm’s reputation.
On this episode of FINRA Unscripted, we are joined once again by Blake Snyder and Jason Foye of FINRA’s AML Investigative Unit to discuss current priorities and best practices when it comes to anti-money laundering regulation.
Resources mentioned in this episode:
FINRA Senior Helpline
2019 FINRA Priorities Letter
FINRA CDD Rule Requirements
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32 min
April 30, 2019 Beyond Hollywood: Money Laundering in the Securities Industry
When three hapless employees inadvertently embezzle a bunch of cash in the movie “Office Space,” they decide the best way to cover it up is to launder it. But the thing is, they don’t even really know what money laundering is and they learned that even the dictionary couldn’t fill them in.
If you want to understand what money laundering is, and more specifically, the efforts brokerage firms must take to prevent and detect it, stay tuned. We have something better than the dictionary: we have Blake Snyder and Jason Foye, two members of FINRA’s Anti-Money Laundering Investigative Unit.
On this episode of FINRA Unscripted, Blake and Jason explain what money laundering is, how it looks different in the securities industry, how that makes regulation different for the securities industry, what FINRA’s Anti-Money Laundering Investigative Unit does and more.
Resources mentioned in this episode:
Key Topics: AML
AML FAQs
AML Half-Day Seminars
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26 min

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FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the…