FINRA Unscripted

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.

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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:

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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.

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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.

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

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.

Effective government relations are essential to FINRA’s success. So, how does FINRA navigate the changing environment? According to FINRA’s Senior Vice President of Government Affairs, Greg Dean, by building and maintaining genuine relationships and by telling FINRA’s story.

In this episode of FINRA Unscripted, Dean shares how FINRA has achieved success in the government affairs space.

Resources mentioned in this episode:

OATS

Senior Helpline

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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.

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4: Investing Smarter

Do you have student loan payments every month? If you do, you’re not alone. Almost 70 percent of US grads leave college with student debt. And many are entering the job market in debt and entirely unprepared to manage their own finances. This is exactly what happened to our guest today, Gerri Walsh.

It wasn’t until Gerri’s law school graduation day that she learned how much she had incurred in student loans, and it was more than she ever imagined. So today, Gerri works to make sure what happened to her, doesn’t happen to anyone else.

Gerri is the head of FINRA’s investor education efforts and the FINRA Foundation is here today to help make us all smarter investors.

Resources mentioned in this episode:

FINRA Foundation

Investor Resources

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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.

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3: FINRA360: Building a Stronger FINRA

How can FINRA become a better, more effective regulator? That’s the question President and CEO Robert Cook is looking to answer.

In 2017, Cook introduced FINRA360, a multi-year initiative to process and act upon feedback about how FINRA could do better. Cook has solicited feedback at every turn – internally, from FINRA member firms, from investors and investor advocates and other stakeholders.

In this episode, Cook highlights some of the major accomplishments under FINRA360 to date and previews what is yet to come.

Resources mentioned in this episode:

FINRA360

Special Notice on Engagement

Examination Findings Report

Budget Summary and Financial Guiding Principles

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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.

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