Podcast Episodes
Back to SearchUnpacking the 2025 FINRA Annual Regulatory Oversight Report
Episode 169
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025…
1 year, 5 months ago
Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
Episode 168
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, …
1 year, 6 months ago
Unlocking Transparency: Navigating FINRA’s Market Data Offerings
Episode 167
Behind every market transaction lies a wealth of data. But how can we harness this information?
On this episode, we sit down with two members of the …
1 year, 6 months ago
Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Episode 166
This episode originally aired in August 2023.
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto as…
1 year, 7 months ago
Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry
Episode 165
In the securities world today, there is little daylight between money laundering and fraud. As these two spaces have come to increasingly overlap, FI…
1 year, 7 months ago
The Forgotten Generation: Shining a Spotlight on Gen X’s Financial Health
Episode 164
Gen X is often called the Forgotten Generation given how often they’re overlooked in favor of conversation around boomers, millennials or now even Ge…
1 year, 8 months ago
The Latest Research: Why Do Targets Engage with Scams?
Episode 163
Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lo…
1 year, 8 months ago
The Victim Experience: When Romance Leads to a Crypto Scam
Episode 162
The number of highly sophisticated crypto scams is growing, with Americans losing an estimated $5.6 billion to crypto-related scams in 2023, accordin…
1 year, 9 months ago
Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation
Episode 161
Last week, FINRA CEO Robert Cook spoke to an audience of regulators, academics, law enforcement agencies, advocacy groups and financial firms at a co…
1 year, 9 months ago
FINRA’s Examination Program: Optimizing for the Future
Episode 160
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 th…
1 year, 10 months ago