Кращі подкасти про Finra (2025)

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Vendor Vigilance: Navigating Third-Party Risk 18:20

рік тому18:20

18:20

Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interested in it? What can FINRA member firms do to mitigate that risk? And how can FINRA help? On this episode of FINRA Unscripted, FINRA’s Executive Vice President of Member Supervision Greg Ruppert shares …

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Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary 27:29

рік тому27:29

27:29

This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabe…

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Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape 31:16

рік тому31:16

31:16

As we observe National Consumer Protection Week amid a growing and changing financial fraud landscape, the time is ripe to talk about the ways in which investors can protect themselves from financial scams. On this episode, we sit down with Rob Mascio, Director of the FINRA Investor Education Foundation, to talk about the latest fraud trends, commo…

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Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team 35:15

рік тому35:15

35:15

As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, the leaders of FINRA's new Strategic Intelligence and Analytics (StratIntel) team discuss how they are working to identify and analyze these industry developments. On this episode, we sit down with the leade…

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Unpacking the 2025 FINRA Annual Regulatory Oversight Report 24:59

рік тому24:59

24:59

As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025 FINRA Regulatory Oversight Report provides just that: Critical insights to help firms strengthen their compliance and protect investors. On this episode, hosted by Member Relations and Education Vice …

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Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals 15:16

рік тому15:16

15:16

Many of us view January as a time to make a fresh start, and as a time to bid farewell to bad habits. In thinking about your New Year's resolutions, have you considered whether you're making financially healthy decisions? On this episode, we sit down with Gerri Walsh, President of the FINRA Investor Education Foundation and Senior Vice President of…

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Unlocking Transparency: Navigating FINRA’s Market Data Offerings 23:45

рік тому23:45

23:45

Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, we sit down with two members of the Market Regulation and Transparency Services team, Senior Vice President of Strategic Regulatory Engagement Alex Ellenberg, and Senior Director of Transparency Services Equities Brendan Loonam. They joi…

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Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub 32:07

рік тому32:07

32:07

This episode originally aired in August 2023. In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team On this episode, the first in a three-part series, we sit down with Omer Meisel, Senior …

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Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry 30:16

рік тому30:16

30:16

In the securities world today, there is little daylight between money laundering and fraud. As these two spaces have come to increasingly overlap, FINRA created the Special Investigations Unit, or SIU, to detect and investigate cases illicit finance, market abuse and other fraud. On this episode, we sit down with SIU Senior Director Gargi Sharma, a…

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The Forgotten Generation: Shining a Spotlight on Gen X’s Financial Health 34:14

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34:14

Gen X is often called the Forgotten Generation given how often they’re overlooked in favor of conversation around boomers, millennials or now even Gen Z. But not today. On this episode, Gen X is the one in the spotlight as we sit down Gary Mottola, research director with the FINRA Foundation, Ritta McLaughlin, director of community outreach with FI…

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The Latest Research: Why Do Targets Engage with Scams? 34:50

рік тому34:50

34:50

Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? These are important questions to ask – and find the answers to – both as consumers and as an industry with an interest in disrupting the cycle of financial fraud. On this episode, we hear fro…

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The Victim Experience: When Romance Leads to a Crypto Scam 27:00

рік тому27:00

27:00

The number of highly sophisticated crypto scams is growing, with Americans losing an estimated $5.6 billion to crypto-related scams in 2023, according to the FBI, a 45 percent jump from the prior year. And often crypto fraud is tied in with romance scams, with criminals targeting victims through texts, dating sites, social media, networking channel…

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Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation 19:31

рік тому19:31

19:31

Last week, FINRA CEO Robert Cook spoke to an audience of regulators, academics, law enforcement agencies, advocacy groups and financial firms at a conference hosted by the FINRA Foundation to underscore the importance of working together to disrupt the cycle of fraud. He highlighted specific areas for further coordination and announced that FINRA w…

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FINRA’s Examination Program: Optimizing for the Future 35:31

рік тому35:31

35:31

FINRA’s Examinations team carries out one of FINRA’s core functions in the examination of FINRA member firms. In an effort to continuously improve the program, the team has undertaken changes to create efficiencies before, during and after the exam process. On this episode, Michael Solomon, executive vice president of Examinations and the Membershi…

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FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets 22:35

рік тому22:35

22:35

FINRA’s Membership Application Program (MAP) team serves as the first point of contact for firms looking to enter the broker-dealer industry. It works both to protect investors by ensuring would-be member firms meet FINRA standards of admission, and to help new and existing firms grow and evolve, ensuring a vibrant market for all. On this episode, …

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An Update on FINRA’s Crypto Asset Work and the Crypto Hub 20:11

рік тому20:11

20:11

Last summer, we introduced listeners to FINRA’ Crypto Hub and enterprise-wide strategy for keeping up with the evolving crypto asset regulatory landscape. A year later, this remains an important area of focus for investors, the industry and FINRA. On this episode, Jamie Udinson, senior director of the Cyber and Analytics Unit, Michael Yuan, a direc…

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Financial Intelligence Unit: Connecting the Industry with Actionable Information 23:40

рік тому23:40

23:40

FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of providing actionable intelligence to firms, other regulators and law-enforcement to keep investors safe. On this episode, Blake Snyder, senior director of FIU, joins us to share how the group has grown and …

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Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations 22:19

рік тому22:19

22:19

Financial social media influencers—or finfluencers—are growing in popularity as a cheap way to reach a new generation of investors. But using these individuals to promote a firm its products or services comes with risks, as revealed by the results of a recent targeted review of FINRA member firm practices in the space. On this episode, Ira Gluck, s…

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Amendments to FINRA Rule 4210: Covered Agency Transactions 28:00

рік тому28:00

28:00

In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions. On this episode, we talk to David Aman, senior advisor, and James Barry, directo…

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FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct 34:26

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34:26

Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representative (HRR) Program is on the case. On this episode, Brooks Brown, Senior Director, and Eric Hebert and John Salerno, Investigative Directors, from the HRR unit join us to explain how they identify and mo…

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Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity 23:39

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23:39

Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year. On this episode, we hear from Sam Draddy, a Senior Vic…

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Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team 34:08

рік тому34:08

34:08

Senior investor protection has long been a priority for FINRA, and the Vulnerable Adults and Seniors Team (VAST) is at the forefront of FINRA's efforts in this space. On this episode, we hear from Brooke Hickman, Director of the Vulnerable Adults and Seniors Investigative Team, Mike Paskin, a manager with VAST Investigations, and Liz Yoka, a manage…

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Preparing for Change: What to Know About the Shift to T+1 27:05

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27:05

On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. This move, which returns the settlement time frame back to a point at which it last stood a century ago, will have wide ranging impacts for firms, investors and regulators. On this episode, we hear from James Barry, Director of Credit Regulation with FINRA'…

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A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team 34:58

рік тому34:58

34:58

These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with Bryan Smith, the new senior vice president of FINRA’s Complex Investigations and Intelligence (CII) team and Brita Bayatmakou, vice …

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MRTS 2.0: A Redesign for a Rapidly Evolving Market 24:57

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24:57

U.S. financial markets today are not what they were ten years ago, five years ago, or even just a couple of years ago. Over the years, FINRA's Market Regulation and Transparency Services (MRTS) team successfully grew and evolved to meet the changing demands of the markets they oversaw. But recently, the group took time to ask, how would we build th…

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An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry 37:24

рік тому37:24

37:24

Generative Artificial Intelligence (AI) and large language models (LLM) are taking the world by storm, presenting numerous opportunities to create business efficiencies. While the new technologies offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from Brad Ahrens, senior vic…

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Investors of Color: New Insights from FINRA’s Investor Education Foundation 28:14

рік тому28:14

28:14

The FINRA Investor Education Foundation has released a new report, Investors of Color in the United States, examining the behavior and attitudes of investors of color based on data from the FINRA Foundation's National Financial Capability Study coupled with a series of focus groups conducted with young Black/African American, Hispanic/Latino and As…

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From NCFC to Enforcement Head: Reintroducing Bill St. Louis 26:48

рік тому26:48

26:48

FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors try to manipulate the markets. This tremendous undertaking demands steadfast leadership. On this episode, we meet Bill St. Louis, the former head of FINRA’s National Cause and Financial Crimes Detection Program a…

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Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam 12:31

рік тому12:31

12:31

FINRA recently wrapped up a targeted review of the practices of certain member firms when it comes to communicating with retail investors regarding crypto products and services. On this episode, Ira Gluck, Senior Director, Advertising Regulation at FINRA, joins us to share the results of that crypto asset communications sweep that began in November…

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2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report 36:50

рік тому36:50

36:50

As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, Ornella Bergeron, Senior Vice President of Risk Monitoring, Omer Meisel, Executive Vice Pres…

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FINRA’s Blockchain Lab: Regulation and Innovation For The Future 28:31

2 роки тому28:31

28:31

In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, which serves as a central point within FINRA for the development of blockchain-related regulatory initiatives. Michael Oh, Senior Director of the Blockchain Lab, Brian Huerbsch, a Senior Blockchain Data Analyst, …

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A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team 30:05

2 роки тому30:05

30:05

As the crypto asset space has grown, FINRA has evolved its oversight of the crypto asset activities of FINRA member firms and their associated persons. In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from Jamie Udinson, Senior Director of the Crypto Asset Investigations team, Taylor Etzel…

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An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub 31:38

2 роки тому31:38

31:38

In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, the first in a three-part series, we sit down with Omer Meisel, Senior Vice President of the Complex Investigations …

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2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program 37:04

2 роки тому37:04

37:04

The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. The 2023 Report on FINRA’s Examination and Risk Monitoring Program provides key insights and observations on two dozen key regulatory topics, making it a must-read for compliance professionals. On this episode, Ornella Bergeron, Senior V…

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Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit 26:55

3 роки тому26:55

26:55

The new Complex Investigations and Intelligence (CII) team and Cyber and Analytics Unit (CAU) are driving a shift in terms of how Member Supervision’s National Cause and Financial Crimes Detection Program comes at its work and leverages intelligence and analytics to drive decision making and operations. On this episode, we hear from Omer Meisel, Vi…

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Financial Capability Study: Financial Wellbeing During a Global Pandemic 33:58

3 роки тому33:58

33:58

The COVID-19 pandemic disrupted many facets of American life but did not derail a trend toward increasing financial capability. Still, not all Americans are benefiting equally from improvements in financial wellbeing, according to the new FINRA Foundation Financial Capability Study. On this episode, Gerri Walsh and Gary Mottola of the FINRA Foundat…

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The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512 24:13

3 роки тому24:13

24:13

Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in losses. That's just one reason why the protection of these investors is a top priority for FINRA. On this episode, we hear from FINRA’s Office of General Counsel’s Jeanette Wingler and Jim Wrona about how FINRA Rules 4512 and 2165, the firs…

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Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation 29:15

5 років тому29:15

29:15

A broker-deal firm’s anti-money laundering efforts may overlap with any number of other regulatory concerns. On the last episode, we looked at the intersection of a firm’s AML and cybersecurity risks. On this episode, the second in a two-part series, we’re looking at how AML may overlap with a firm’s efforts to protect senior investors from exploit…

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Overlapping Risks, Part I: Anti-Money Laundering and Cybersecurity 29:06

5 років тому29:06

29:06

Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money laundering responsibilities. A firm's AML risks can overlap with any number of other priorities. On this episode, the first of a two-part series, we're looking at the intersection of a firm's AML and cybersecur…

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Regulation Best Interest: Implementing a New Standard of Conduct 31:56

5 років тому31:56

31:56

As of June 30, 2020, the U.S. Securities and Exchange Commission’s Regulation Best Interest—or Reg BI—is officially in effect. That means brokerage firms now have to comply with a new standard of conduct when working with retail clients. On this episode we talk to Meredith Cordisco and Jim Wrona of FINRA’s Office of General Counsel about what a pos…

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Beyond Hollywood, Part II: AML Priorities and Best Practices 31:09

6 років тому31:09

31:09

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 …

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Beyond Hollywood: Money Laundering in the Securities Industry 25:36

6 років тому25:36

25:36

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 mor…

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CRD Transformation: Enhancing the Registration & Disclosure Process 18:32

6 років тому18:32

18:32

FINRA’s Central Registration and Depository (CRD) system is the central licensing and registration system not just for FINRA, but also for U.S. securities exchanges and all 50 states . But the system is still partying like it’s 1999. Twenty years after the CRD system’s last major update, FINRA is in the middle of a multi-year effort to overhaul the…

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The Annual Priorities Letter: A Fresh Take 21:32

6 років тому21:32

21:32

The Annual FINRA Priorities Letter is a great resource for firms looking to improve their compliance, supervisory and risk management programs. But the 2019 Letter is a little different—this year focusing on materially new areas of focus so readers can better identify areas for program improvement. On this episode of FINRA Unscripted, we’re joined …

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Insider Trading: Finding the Needle in the Haystack 27:26

7 років тому27:26

27:26

When it comes to detecting insider trading, it really is like finding a needle in a haystack with more than 15,000 different stocks, options and bonds trading every day across millions of transactions. Yet, Sam Draddy and the Insider Surveillance team in the Office of Fraud Detection and Market Intelligence manage to find those needles. The Insider…

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The New SIE Exam: Opening Doors to the Securities Industry 23:13

7 років тому23:13

23:13

Looking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch a new exam that consolidates the fundamental knowledge shared across several of FINRA’s existing Series exams into a single Securities Industry Essentials (SIE) exam. Additional “top-off” exams, such as the Series 7, will be trimm…

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