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FINRA Unscripted

FINRA

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.

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  1. Supporting Capital Formation: FINRA’s Evolving Regulatory Approach 34:29
  2. How AI Is Supercharging Investment Fraud (And What You Can Do About It) 34:52
  3. FINRA's Intraday Margin Standard: What Investors and Members Need to Know 27:42
  4. Inside FINRA's Financial Intelligence Fusion Center 31:17
  5. How FINRA Turns Member Feedback Into Action 22:22
  6. Inside FINRA Forward: A Conversation with FINRA Board Chair Scott Curtis 27:14
  7. How FINRA Is Enhancing Member Firm Examinations 34:33
  8. Trading Around the Clock: Inside FINRA's Trade Reporting Enhancements 23:02
  9. How FINRA Is Streamlining Data Requests 34:30
  10. Financial Security in 2026: Tips for Investors and How Firms Can Help 18:54
  11. Investors in the United States: Key Trends and Insights from the National Financial Capability Study 37:08
  12. Navigating the 2026 Regulatory Oversight Report: Key Insights from FINRA Leadership 42:41
  13. Making Your Voice Heard Through FINRA Member Engagement 32:46
  14. Building Cybersecurity Resilience Through FINRA Forward 40:42
  15. A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo 26:51
  16. Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals 15:52
  17. Previewing FINRA’s Crypto and Blockchain Education Program 17:43
  18. National Financial Capability Study: Key Trends and Insights 32:32
  19. A Conversation With FINRA Chair Scott Curtis 28:11
  20. Robert Cook on FINRA Forward, and More 23:08
  21. Vendor Vigilance: Navigating Third-Party Risk 18:20
  22. Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary 27:29
  23. Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape 31:16
  24. Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team 35:15
  25. Unpacking the 2025 FINRA Annual Regulatory Oversight Report 24:59
  26. Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals 15:16
  27. Unlocking Transparency: Navigating FINRA’s Market Data Offerings 23:45
  28. Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub 32:07
  29. Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry 30:16
  30. The Forgotten Generation: Shining a Spotlight on Gen X’s Financial Health 34:14
  31. The Latest Research: Why Do Targets Engage with Scams? 34:50
  32. The Victim Experience: When Romance Leads to a Crypto Scam 27:00
  33. Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation 19:31
  34. FINRA’s Examination Program: Optimizing for the Future 35:31
  35. FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets 22:35
  36. An Update on FINRA’s Crypto Asset Work and the Crypto Hub 20:11
  37. Financial Intelligence Unit: Connecting the Industry with Actionable Information 23:40
  38. Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations 22:19
  39. Amendments to FINRA Rule 4210: Covered Agency Transactions 28:00
  40. FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct 34:26
  41. Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity 23:39
  42. Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team 34:08
  43. Preparing for Change: What to Know About the Shift to T+1 27:05
  44. A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team 34:58
  45. MRTS 2.0: A Redesign for a Rapidly Evolving Market 24:57
  46. An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry 37:24
  47. Investors of Color: New Insights from FINRA’s Investor Education Foundation 28:14
  48. From NCFC to Enforcement Head: Reintroducing Bill St. Louis 26:48
  49. Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam 12:31
  50. 2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report 36:50