Afleveringen
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On this episode, tune in to a conversation from FINRA’s 2026 Annual Conference, where FINRA Board Chair Scott Curtis and FINRA President and CEO Robert Cook discussed the partnership between board governance and executive leadership, and the strategic priorities shaping FINRA's direction.
Resources mentioned in this episode:
Ep. 185: How FINRA Is Streamlining Data Requests
Ep. 187: How FINRA Is Enhancing Member Firm Examinations
FINRA Forward: A Year of Progress
FINRA Forward
FINRA Quarterly Regulatory Policy Agenda
Blog Post: FINRA Forward’s Rule Modernization—An Update
Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission
Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve
Blog Post: A Progress Update on Rule Modernization
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Examinations are a cornerstone of FINRA's regulatory oversight, but how we conduct them is evolving. As part of FINRA Forward, we're making our approach more risk-informed, more efficient, and more transparent.
On this episode, J. Koutros, Senior Vice President of Member Supervision, Operations, Procedures, and Standards, Jim Reese, Senior Vice President of Examinations, and John Martino, Vice President of Examinations explore the changes reshaping FINRA's examination program: streamlined first firm exams for lower-risk firms, extended exam cycles where warranted, more targeted data requests, and advance notice about exam timing. The guests also look ahead to new technology, enhanced transparency around preliminary findings, and the ongoing feedback that drives FINRA’s continuous improvement.
Resources mentioned in this episode:
FINRA Examination and Risk Monitoring Programs
Ep. 185: How FINRA is Streamlining Data Requests
FINRA Forward: A Year of Progress
FINRA Forward
FINRA Quarterly Regulatory Policy Agenda
Blog Post: FINRA Forward’s Rule Modernization—An Update
Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission
Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve
Blog Post: A Progress Update on Rule Modernization
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Zijn er afleveringen die ontbreken?
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Every time you check a stock price on your phone or watch a ticker scroll across a screen, you are seeing the result of a complex reporting system most investors never think about. Behind that number is a vast infrastructure capturing and consolidating trades from exchanges and over-the-counter markets in milliseconds—and that system is undergoing major enhancements.
On this episode, Chris Stone, FINRA Vice President, Transparency Services, takes us inside the systems that make market transparency possible. Stone explains how FINRA recently extended trade reporting hours to 4 a.m. ET, why the industry is preparing for 23-hour, 5-day-a-week trading by December 2026, and how FINRA’s recently implemented fractional share reporting is eliminating what researchers called "phantom volume."
Resources mentioned in this episode:
Trade Reporting Facility (TRF)
Reg. Notice 25-15: FINRA Adopts Amendments to Extend the Trade Reporting Facilities Operating Hours
Trade Reporting Notice 1/14/26: Upcoming Trade Reporting Enhancements for Fractional Share Transactions
FINRA Forward
Blog Post: FINRA Forward’s Rule Modernization—An Update
Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission
Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve
Blog Post: A Progress Update on Rule Modernization
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Data is at the heart of everything we do at FINRA—from examining firms to detecting suspicious trading to protecting investors. But the process of requesting, gathering, and analyzing data involves significant effort across the board.
So, the question is: How do we work smarter? How do we use technology and collaboration to be more targeted in what we ask for, more efficient in how we use it, and more effective in the oversight we provide?
On this episode, Sam Draddy, Senior Vice President of Surveillance and Market Intelligence, and J. Koutros, Senior Vice President of Member Supervision Operations, Procedures, and Standards, explore how FINRA's approach to data requests is evolving. This effort embodies FINRA Forward, our commitment to continuous improvement, regulatory efficiency, and reducing burden while strengthening investor protection and market integrity.
Resources mentioned in this episode:
FINRA Rule 8210
Electronic Blue Sheets (EBS)
FINRA Quarterly Regulatory Policy Agenda
FINRA Forward
Blog Post: FINRA Forward’s Rule Modernization—An Update
Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission
Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve
Blog Post: A Progress Update on Rule Modernization
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Financial security is about more than just building wealth: It's about resilience, preparation, and having the tools to weather whatever comes your way. And right now, with rising costs, market volatility, and evolving fraud risks, investors need that security more than ever.
On this episode, FINRA Investor Education Foundation President and Senior Vice President of Investor Education Gerri Walsh discusses what financial security really means in 2026, and how firms can help protect and empower their customers. This conversation sits at the heart of FINRA Forward, our commitment to evolving alongside the rapidly changing securities industry in support of our mission of protecting investors and market integrity.
Resources mentioned in this episode:
BrokerCheck
Market Data Center
Fund Analyzer
Fixed Income Data
FINRA Investor Education Foundation
Protecting Consumers from Fraud
FINRA Forward
Blog Post: FINRA Forward’s Rule Modernization—An Update
Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission
Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve
Ep. 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
Ep. 183: Investors in the United States: Key Trends and Insights from the National Financial Capability Study
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The FINRA Investor Education Foundation’s National Financial Capability Study is an expansive source of data and insights about the financial lives of U.S. adults. Conducted every three years, this wide-ranging research effort includes the Investor Survey, an in-depth exploration of the attitudes, behaviors, knowledge and experiences of retail investors across the country.
In December, the FINRA Foundation published the latest iteration of the survey, titled "Investors in the United States: Results from the FINRA Foundation’s National Financial Capability Study." Drawing on responses from nearly 3,000 respondents in the U.S. with non-retirement investment accounts, the latest edition builds on previous Investor Survey reports, conducted every three years since 2015.
On this episode of FINRA Unscripted, FINRA Foundation President Gerri Walsh, the Foundation's Research Director Gary Mottola, and Senior Researcher Olivia Valdes discuss the study's wide-ranging findings and implications.
Resources mentioned in this episode:
The National Financial Capability Study (NFCS)
Investors in the United States A Report of the National Financial Capability Study
State-by-State NFCS
Investing Knowledge Quiz
Ep. 176: National Financial Capability Study: Key Trends and Insights
You Know More Than You Think: Unrealized Knowledge in “Don’t Know” Responses to Financial Knowledge Questions
2026 FINRA Annual Regulatory Oversight Report
BrokerCheck
Social Media Key Topics Page
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The Annual Regulatory Oversight Report is one of FINRA’s most valued resources for member firms—and this year, we're publishing it earlier than ever in response to member feedback. The 2026 Report features insights on cyber-enabled fraud, senior investor protection, generative AI, and much more. It also reflects our FINRA Forward commitment to empowering member firm compliance by sharing intelligence from across our Regulatory Operations.
This episode features four FINRA leaders: Ornella Bergeron, Senior Vice President, Risk Monitoring, and Acting Head of Member Supervision; Bill St. Louis, Executive Vice President and Head of Enforcement; Feral Talib, Executive Vice President and Head of Market Oversight; and Bryan Smith, Senior Vice President and Acting Head of Strategic Intelligence. They discuss takeaways from the report, and how firms can leverage its effective practices and research to strengthen their compliance programs.
Resources mentioned in this episode:
2026 Regulatory Oversight Report
FINRA Forward
FINRA Crypto and Blockchain Education Program
Blog Post: FINRA Forward’s Rule Modernization—An Update
Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission
Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve
SEC Regulation Best Interest (Reg BI)
5310. Best Execution and Interpositioning
Ep. 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
Ep. 173: Vendor Vigilance: Navigating Third-Party Risk
Ep. 177: Previewing FINRA’s Crypto and Blockchain Education Program
Ep. 180: Building Cybersecurity Resilience Through FINRA Forward
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As a self-regulatory organization, engagement with member firms is vital to FINRA’s success. On this episode, we highlight engagement opportunities, provide insight into how FINRA is listening and taking action on what we're hearing, and encourage even more listeners to get actively involved in FINRA's outreach.
FINRA Senior Vice President Kayte Toczylowski is joined by two current FINRA regional committee members: Serving on FINRA's Midwest regional committee, Margaret Dubil, Director of Surveillance for Stifel, Nicolaus & Company, and Stifel Independent Advisors; and serving on the New York regional committee, Peter Garcia, Head of Business Development and Controls at Rabobank and Officer of Rabo Securities USA, Rabobank's U.S. broker- dealer. The two provide firsthand experience on engaging with FINRA.
Resources mentioned in this episode:
FINRA Forward
FINRA Crypto and Blockchain Education Program
Blog Post: FINRA Forward’s Rule Modernization—An Update
Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve
FINRA Conferences and Events
2025 Involvement and Election Process Overview
FINRA Engagement Portal
FINRA Advisory Committees
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Today's cybersecurity threats aren't isolated incidents—they are sophisticated operations orchestrated by organized criminals and even nation states. This new reality demands we respond not as individual organizations, but as a unified industry with shared intelligence and coordinated defenses. Through FINRA Forward, we are applying this perspective to create practical tools that firms can use to protect themselves and their clients from emerging threats.
On this episode, we explore the topic with Bryan Smith, FINRA’s Senior Vice President of Complex Investigations and Intelligence; Brita Bayatmakou, Vice President of Strategic and Threat Intelligence; and Jason Beachy, Vice President of the Cyber and Analytics Unit. Our guests discuss how FINRA is working to provide firms with the intelligence, preparation, and collaborative tools they need to better protect themselves and their customers in an increasingly complex threat landscape. These efforts include workshops and tabletop exercises, the Cyber and Operational Resilience program, and our forthcoming Financial Intelligence Fusion Center.
Resources mentioned in this episode:
FINRA Forward
FINRA Crypto and Blockchain Education Program
Blog Post: FINRA Forward’s Rule Modernization—An Update
Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission
Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve
Ep. 177: Previewing FINRA’s Crypto and Blockchain Education Program
FIFC Email: [email protected]
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Small firms face unique challenges. The regulatory landscape is evolving rapidly. And the conversation between regulators and the regulated is more important than ever. How does FINRA ensure that small firm voices are heard? How do small firms navigate an increasingly complex environment while serving their clients effectively?
On this episode, we bring you a conversation between FINRA President and CEO Robert Cook and Small Firm Advisory Committee (SFAC) Chair Preston Haxo from FINRA's Small Firm Conference in Dallas on Oct. 9. The two explored the vital role of the SFAC, the ongoing progress of our FINRA Forward initiatives, the practical ways small firms can engage with FINRA, and more.
Resources mentioned in this episode:
FINRA Forward
Small Firm Advisory Committee (SFAC)
FINRA Small Firm Helpline
The Small Firm Briefing
FINRA Crypto and Blockchain Education Program
Reg Notice 25-13: Form U4 Recordkeeping Requirements
Reg Notice 25-07: The Modern Workplace
Reg Notice 25-06: Capital Formation
Reg Notice 25-04: Rule Modernization
Blog Post: FINRA Forward’s Rule Modernization—An Update
Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission
Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve
Ep. 177: Previewing FINRA’s Crypto and Blockchain Education Program
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This episode originally aired in January 2025.
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 Investor Education, to uncover the trends and tips investors need to get their finances in order for 2025.
Resources mentioned in this episode:
BrokerCheck
Market Data Center
Fund Analyzer
Fixed Income Data
FINRA Investor Education Foundation
Protecting Consumers from Fraud
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As member firm activity increases in blockchain and crypto assets, FINRA is launching a Crypto and Blockchain Education Program designed to empower member firm compliance and combat crypto fraud by broadening the knowledge base of member firms and associated persons.
On this episode, FINRA’s Crypto Hub Chief Jason Foye, Director of Critical Skills and Capabilities Training Rowan Job-White and Director of Continuing Education Services Genay Glasgo delve into the program’s self-paced e-learning courses and an upcoming in-person training.
Resources mentioned in this episode:
FINRA Crypto and Blockchain Education Program
Financial Learning Experience
Email: [email protected]
Email: [email protected]
Key Topics: Crypto Assets
SEC Crypto Task Force
Podcast: An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Certified Regulatory and Compliance Professional Program
Blog Post: FINRA Forward
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In 2009, the FINRA Investor Education Foundation launched the first national study of financial capability of adults in the United States. Since its start, the National Financial Capability Study has provided data on multiple indicators of capability, including financial behaviors, attitudes, and knowledge.
National Financial Capability Study survey data is collected every three years. The 2024 survey, which was published in July, represents the sixth wave of data. This report serves as an important barometer of Americans financial health, and it continues to be an essential resource for policymakers, researchers, financial firms, educators, and other stakeholders seeking to better understand and address the financial capability needs of Americans.
On this episode of FINRA Unscripted, FINRA Foundation President Gerri Walsh, the Foundation's research director, Gary Mottola, and senior researcher Olivia Valdes discuss the study's findings and implications.
Resources mentioned in this episode:
National Financial Capability Study (Sixth Wave)
National Financial Capability Study: 2024 State-Level Insights
Financial Knowledge Quiz
National Financial Capability Study (Fifth Wave)
The machines are coming (with personal finance information). Do we trust them?
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Resources mentioned in this episode:
Blog Post: Fee Rebate for FINRA Member Firms
Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve
Request for Comment: Outside Activities Rule—2025-05
Rule Proposal: Gifts Rule—2025-003
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Subscribe to our show on Apple Podcasts, Google Play and by RSS. -
FINRA Forward—New Initiatives to Support Members, Markets, and the Investors They Serve
FINRA360
Request for Comment on Capital Formation Rules, Guidance and Processes
Request for Comment on Modern Workplace Rules, Guidance and Processes
Request for Comment on Associated Persons’ Outside ActivitiesStatement to Correct Misinformation About Outside Activities Proposal
Broad Review to Modernize Rules Regarding Member Firms and Associated Persons
Proposed Rule Change to Modify the Implementation Schedule Regarding Corporate Financing Fees
Proposed Rule Change on Transaction Reporting
Engage With FINRA
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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 valuable insights on why firms are facing heightened challenges with third-party vendors, the emerging risks posed by fourth-party relationships, and how FINRA's intelligence sharing is helping member firms protect themselves from vendor-related cybersecurity threats.
Resources mentioned in this episode:
2025 Annual Regulatory Oversight Report
CEO Blog: New FINRA Initiatives to Support Members, Markets, and the Investors They Serve
FINRA Cybersecurity Guidance
Ep. 170: Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team
Ep. 169: Unpacking FINRA’s 2025 Regulatory Oversight Report
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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—Elizabeth Yoka, the manager of VAST Intake, and Michael Paskin, the manager of the VAST Investigations, to discuss the Helpline and its 10 years of protecting investors. We will be focusing on the Helpline results and will provide a few examples of how the Helpline has become an effective conduit for investor protection, and how it has been helpful to member firms.
Resources mentioned in this episode:
FINRA Securities Helpline for Seniors
Ep. 152: Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team
FINRA Rule 2165
FINRA Rule 4512
FINRA Rule 3241
2025 Annual Regulatory Oversight Report
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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, common red flags to watch out for and practical steps investors can take to safeguard investments.
Resources mentioned in this episode:
2025 Annual Regulatory Oversight Report
Investor Alert: Social Media ‘Investment Group’ Imposter Scams on the Rise Romance Scams
FINRA Securities Helpline for Seniors
BrokerCheck
Market Data Center
Fund Analyzer
Fixed Income Data
FINRA Investor Education Foundation
Protecting Consumers from Fraud
Ep 162: The Victim Experience: When Romance Leads to Crypto Scam
Ep. 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
Ep. 169: Unpacking the 2025 Regulatory Oversight Report
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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 leaders of the StratIntel team: Senior Vice President of Data and Analytics for Member Supervision Jim Reese, and his two Vice Presidents, Brita Bayatmakou and Clint Johnson. The three share insights on how this new team is evolving FINRA's approach to intelligence gathering and risk monitoring, and the innovative ways they are using data and analytics to support FINRA's mission of investor protection and market integrity.
Resources mentioned in this episode:
2025 Regulatory Oversight Report
3110. Supervision
Episode 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
Episode 169: Unpacking FINRA’s 2025 Regulatory Oversight Report
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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 President Kayte Toczylowski, FINRA’s regulatory leaders— Executive Vice President and Head of Member Supervision Greg Ruppert, Executive Vice President and Head of Market Regulation and Transparency Services Stephanie Dumont, and Executive Vice President and Head of Enforcement Bill St. Louis—join us to dive into the report’s takeaways and insights for member firms.
Resources mentioned in this episode:
2025 Regulatory Oversight Report
SEC Regulation Best Interest (Reg BI)
5310. Best Execution and Interpositioning
Reg Notice 20-31: FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT
Investor Insights: Artificial Intelligence (AI) and Investment Fraud
Episode 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
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