FINRA Unscripted – Details, episodes & analysis

Podcast details

Technical and general information from the podcast's RSS feed.

FINRA Unscripted

FINRA

Government

Business

Frequency: 1 episode/47d. Total Eps: 61

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 broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.

Recent rankings

Latest chart positions across Apple Podcasts and Spotify rankings.

Apple Podcasts

🇨🇦 Canada - government
28/06/2026
#89
🇨🇦 Canada - government
27/06/2026
#73
🇨🇦 Canada - government
26/06/2026
#47
🇬🇧 Great Britain - government
16/05/2026
#99

Shared links between episodes and podcasts

Links found in episode descriptions and other podcasts that share them.

See all

https://itunes.apple.com/us/podcast/podcasts/id153162007?mt=2
62 shares

https://twitter.com/FINRA
61 shares
https://twitter.com/OS_Mitchell
1 share

RSS feed quality and score

Technical evaluation of the podcast's RSS feed quality and structure.

See all

RSS feed quality

To improve

Score global : 63%

Publication history

Monthly episode publishing history over the past years.

Year

Latest published episodes

Recent episodes with titles, durations, and descriptions.

See all

FINRA’s Examination Program: Optimizing for the Future

Episode 160

Tuesday, September 3, 2024 • Duration 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 Membership Application Program, Tom Mellett and John Martino, both vice president of Firm Group Examinations, join us to detail some of the recent changes, including the introduction of thematic reviews, changes to the post-exam closeout process and more.

Resources mentioned in this episode:

Episode 132: The Ins and Outs of FINRA’s Annual Program

2024 Regulatory Oversight Report

Targeted (Sweep) Exam Letters

Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail

Subscribe to our show on Apple Podcasts, Google Play and by RSS.

Read moreCollapse

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

Episode 159

Tuesday, August 6, 2024 • Duration 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, Cindy Foster, Vice President of MAP, joins us to share more about FINRA standards of admission and how the group works to ensure a smooth process for both current and prospective member firms.

Resources mentioned in this episode:

Member Application Rules

Broker-Dealer Registration

FINRA Standards for Admission

Episode 117: Reviewing and Approving Digital Asset Firms

MAP Tools and Videos

MAP FAQs

Checklist for Mandatory Materiality Consultation

Residential Supervisory Locations (RSL) FAQs

Phone: 212-858-4000, option five

Email:

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

Episode 150

Tuesday, April 2, 2024 • Duration 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 president of the Cyber and Analytics Unit within CII, for an update on CII, the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends.

Resources mentioned in this episode:

FINRA's FBI Cyber Threat Briefings (Next Briefing: April 22)

Episode 112: Introducing FINRA’s Complex Investigations and Intelligence Team

CISA Alerts and Advisories

FBI Internet Crime Complaint Center: Industry Alerts

Reg Notice 21-29: Obligations Related to Outsourcing to Third-Party Vendors

Find us: LinkedIn / X / YouTube / Facebook / Instagram / Subscribe to our show on , and by .

MRTS 2.0: A Redesign for a Rapidly Evolving Market

Episode 149

Tuesday, March 19, 2024 • Duration 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 this team if we were starting from scratch? And the answer to that question involved redesigning the group structure around specific functions, rather than around specific rules or products.

On this episode, we hear from Feral Talib, Executive Vice President of Surveillance and Market Intelligence, Jackie Perrell, a Senior Vice President and Chief of Staff for MRTS, and Steve Price, Senior Vice President of Market Investigations to learn how the MRTS team has realigned itself, allowing it to be more nimble in addressing and anticipating risks, to better leverage its data and more.

Resources mentioned in this episode:

2024 FINRA Annual Regulatory Oversight Report

Feral Talib Named Executive Vice President and Head of Surveillance & Market Intelligence

Episode 60: Greg Ruppert and the National Cause and Financial Crimes Detection Programs

Find us: LinkedIn / X / YouTube / Facebook / / Subscribe to our show on , and by .

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

Episode 148

Tuesday, March 5, 2024 • Duration 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 vice president of Advanced Analytics, Andrew McElduff, vice president with Member Supervision's Risk Monitoring team and Haime Workie, vice president and head of FINRA's Office of Financial Innovation, who are closely looking at these technologies and following developments in this space to learn how FINRA is looking at and thinking about generative AI when it comes to its own business and what it's looking at and seeing when it comes to firm use of these tools.

Resources mentioned in this episode:

Artificial Intelligence (AI) in the Securities Industry

Artificial Intelligence (AI) and Investment Fraud

Reg Notice 21-19: Obligations Related to Outsourcing to Third-Party Vendors

Rule 3110: Supervision

2024 FINRA Annual Regulatory Oversight Report

2023 Executive Order on Artificial Intelligence for Congress

Beyond Hollywood, Part II: AML Priorities and Best Practices

Episode 34

Tuesday, May 14, 2019 • Duration 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 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

Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail

Subscribe to our show on Apple Podcasts, and by .

Beyond Hollywood: Money Laundering in the Securities Industry

Episode 33

Tuesday, April 30, 2019 • Duration 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 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

Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail

Subscribe to our show on Apple Podcasts, Google Play and by .

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

Episode 147

Tuesday, February 20, 2024 • Duration 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 Asian American/Pacific Islander investors.

The report shows interesting trends related to the pace at which these investors are entering the market, their views on risk, where they're receiving information and more. On this episode, we hear more from Ritta McLaughlin, Director of Investor Education, Community Outreach, and Principal Research Analyst Olivia Valdes to learn more.

Resources mentioned in this episode:

Investors of Color in the United States (2024)

Gen Z and Investing: Social Media, Crypto, FOMO, and Family (2023)

Investors in the United States: The Changing Landscape (2022)

New Accounts and the People Who Opened Them (2021)

FINRA Investor Education Foundation

Episode 134: Gen Z Investors

Find us: LinkedIn / / / / / Subscribe to our show on , and by .

CRD Transformation: Enhancing the Registration & Disclosure Process

Episode 29

Tuesday, March 5, 2019 • Duration 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 registration and disclosure system that is the backbone of the BrokerCheck, the free tool that allows investors to research the background of their financial professionals and firms.

On this episode of FINRA Unscripted, FINRA’s executive vice president of Registration & Disclosure, Derek Linden, tells us more about the transformation and what users can expect.

Resources mentioned in this episode:

CRD Transformation Website

Announcement: CRD Transformation

BrokerCheck

12: How the Cloud Has Revolutionized FINRA Technology

Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail

Subscribe to our show on , and by .

The Annual Priorities Letter: A Fresh Take

Episode 26

Tuesday, January 22, 2019 • Duration 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 by Bari Havlik, FINRA’s executive vice president of Member Supervision, Steve Polansky, a senior director in Member Supervision, and Gene DeMaio, a senior vice president of options regulation and the trading and financial compliance exam program, to learn more about the changes to the letter and to drill into a few key topics.

Stay tuned to hear more about new priorities such as fixed income mark-up disclosure and supervision of digital assets business, as well as some new takes on existing priorities, including suitability, best execution, market manipulation and more.

Resources mentioned in this episode:

2019 Priorities Letter

2018 Priorities Letter

2018 Exam Findings Report

Fixed Income Confirmation Disclosure FAQs

SEC Statement on Digital Asset Securities Issuance and Trading

SEC Issues Investigative Report on DAO Tokens

Find us: / / / / / Subscribe to our show on , and by .

FINRA Unscripted – Details, episodes & analysis

Podcast details

Recent rankings

Apple Podcasts

Shared links between episodes and podcasts

RSS feed quality and score

Publication history

Latest published episodes

Related Shows Based on Content Similarities

Related Shows Based on Content Similarities

Apple Podcasts

Spotify

FINRA Unscripted – Details, episodes & analysis

Podcast details

Recent rankings

Apple Podcasts

Shared links between episodes and podcasts

Other99+

Apple Podcast1

Twitter2

RSS feed quality and score

Publication history

Latest published episodes

Similar podcasts and content

Related Shows Based on Content Similarities

Related Shows Based on Content Similarities

Other99+

Apple Podcast1

Twitter2

Apple Podcasts

Spotify