Podcast Episodes
Back to SearchA Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo
Episode 179
Small firms face unique challenges. The regulatory landscape is evolving rapidly. And the conversation between regulators and the regulated is more i…
8 months ago
Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
Episode 178
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. I…
9 months ago
Previewing FINRA’s Crypto and Blockchain Education Program
Episode 177
As member firm activity increases in blockchain and crypto assets, FINRA is launching a Crypto and Blockchain Education Program designed to empower m…
9 months, 3 weeks ago
National Financial Capability Study: Key Trends and Insights
Episode 176
In 2009, the FINRA Investor Education Foundation launched the first national study of financial capability of adults in the United States. Since its …
11 months ago
A Conversation With FINRA Chair Scott Curtis
Episode 175
Resources mentioned in this episode:
Blog Post: Fee Rebate for FINRA Member Firms
Blog Post: FINRA Forward Initiatives to Support Members, Markets and …
11 months, 3 weeks ago
Robert Cook on FINRA Forward, and More
Episode 174
FINRA Forward—New Initiatives to Support Members, Markets, and the Investors They Serve
FINRA360
Request for Comment on Capital Formation Rules, Guidan…
1 year ago
Vendor Vigilance: Navigating Third-Party Risk
Episode 173
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 interes…
1 year, 2 months ago
Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary
Episode 172
This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA…
1 year, 3 months ago
Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape
Episode 171
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 whi…
1 year, 4 months ago
Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team
Episode 170
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 le…
1 year, 4 months ago