FINRA Unscripted

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.

Vendor Vigilance: Navigating Third-Party Risk
May 6, 2025 – 00:18:20
Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary
Apr 1, 2025 – 00:27:29
Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape
Mar 4, 2025 – 00:31:16
Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team
Feb 11, 2025 – 00:35:15
Unpacking the 2025 FINRA Annual Regulatory Oversight Report
Jan 28, 2025 – 00:24:59
Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
Jan 7, 2025 – 00:15:16
Unlocking Transparency: Navigating FINRA’s Market Data Offerings
Dec 10, 2024 – 00:23:45
Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Nov 26, 2024 – 00:32:07
Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry
Nov 12, 2024 – 00:30:16
The Forgotten Generation: Shining a Spotlight on Gen X’s Financial Health
Oct 29, 2024 – 00:34:14
The Latest Research: Why Do Targets Engage with Scams?
Oct 15, 2024 – 00:34:50
The Victim Experience: When Romance Leads to a Crypto Scam
Oct 1, 2024 – 00:27:00
Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation
Sep 17, 2024 – 00:19:31
FINRA’s Examination Program: Optimizing for the Future
Sep 3, 2024 – 00:35:31
FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets
Aug 6, 2024 – 00:22:35
An Update on FINRA’s Crypto Asset Work and the Crypto Hub
Jul 23, 2024 – 00:20:11
Financial Intelligence Unit: Connecting the Industry with Actionable Information
Jul 9, 2024 – 00:23:40
Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations
Jun 25, 2024 – 00:22:19
Amendments to FINRA Rule 4210: Covered Agency Transactions
Jun 11, 2024 – 00:28:00
FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct
May 28, 2024 – 00:34:26
Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity
May 14, 2024 – 00:23:39
Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team
Apr 30, 2024 – 00:34:08
Preparing for Change: What to Know About the Shift to T+1
Apr 16, 2024 – 00:27:05
A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team
Apr 2, 2024 – 00:34:58
MRTS 2.0: A Redesign for a Rapidly Evolving Market
Mar 19, 2024 – 00:24:57
An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry
Mar 5, 2024 – 00:37:24
Investors of Color: New Insights from FINRA’s Investor Education Foundation
Feb 20, 2024 – 00:28:14
From NCFC to Enforcement Head: Reintroducing Bill St. Louis
Feb 6, 2024 – 00:26:48
Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
Jan 23, 2024 – 00:12:31
2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report
Jan 9, 2024 – 00:36:50
FINRA’s Blockchain Lab: Regulation and Innovation For The Future
Sep 19, 2023 – 00:28:31
A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team
Sep 5, 2023 – 00:30:05
An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Aug 8, 2023 – 00:31:38
2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program
Jan 10, 2023 – 00:37:04
Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit
Aug 9, 2022 – 00:26:55
Financial Capability Study: Financial Wellbeing During a Global Pandemic
Jul 26, 2022 – 00:33:58
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
May 3, 2022 – 00:24:13
Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation
Nov 10, 2020 – 00:29:15
Overlapping Risks, Part I: Anti-Money Laundering and Cybersecurity
Oct 27, 2020 – 00:29:06
Regulation Best Interest: Implementing a New Standard of Conduct
Jul 7, 2020 – 00:31:56
Beyond Hollywood, Part II: AML Priorities and Best Practices
May 14, 2019 – 00:31:09
Beyond Hollywood: Money Laundering in the Securities Industry
Apr 30, 2019 – 00:25:36
CRD Transformation: Enhancing the Registration & Disclosure Process
Mar 5, 2019 – 00:18:32
The Annual Priorities Letter: A Fresh Take
Jan 22, 2019 – 00:21:32
Insider Trading: Finding the Needle in the Haystack
Dec 4, 2018 – 00:27:26
The New SIE Exam: Opening Doors to the Securities Industry
Sep 25, 2018 – 00:23:13

Recent Reviews

BravoGolf592

Thank you for allowing me to speak about my scam experience.

I am not a financial professional and if you are reading this, you may be wondering why I am giving the FINRA Unscripted five stars? Because I was invited to the FINRA Foundation to speak at your conference this past September 2024. I was able to give the professional members of FINRA how big a problem of financial crimes are and I am a survivor. Please listen to Episode 162 and commit yourself to educating yourself and your professional world about the need to stop the scam from happening to Americans.
Mahendra S. Rathore

FINRA PODCASTS

Informative, highly engaging, inspiring educational podcasts ! Thank you the host and FINRA Team for an outstanding programs. Can’t wait to listen to the next episode!
P38747289

Kaitlyn really takes us through the issues of the day

One of the best financial podcasts in the biz
Rob Gu'ner

Kaitlyn is Awesome!

Very informative.
KVL 1

Informative and well done

These podcasts provide industry-leading information and lots of information for professionals in the broker-dealer industry, including lawyers. They are also very well done and entertaining. You may think a podcast about broker-dealers could be a snooze. But this is not that! Great insight and commentary.
KSB049

Great resource

This is a fantastic resource for compliance professionals or any investment professional looking to learn more about FINRA and how it operates. Very easy to listen too...you’ll almost forget you are listening to something by a regulator.
Pinkfairygal

Excellent Resource

I am an industry compliance officer and find that these podcasts serve as an excellent best practices reminder. They keep me watchful for common, and not so common, potential red flag behaviors. I often send out a blast email to the folks I supervise after listening to the podcast. The easy going conversational delivery makes the podcast enjoyable when so much of our industry is (by rights) very stiff and "stuffed shirt." Thank you for presenting such timely and helpful information.