Podcast Episodes
Back to SearchFINRA’s Membership Application Program: Safeguarding the Integrity of the Markets
Episode 159
FINRA’s Membership Application Program (MAP) team serves as the first point of contact for firms looking to enter the broker-dealer industry. It work…
1 year, 11 months ago
An Update on FINRA’s Crypto Asset Work and the Crypto Hub
Episode 158
Last summer, we introduced listeners to FINRA’ Crypto Hub and enterprise-wide strategy for keeping up with the evolving crypto asset regulatory lands…
1 year, 11 months ago
Financial Intelligence Unit: Connecting the Industry with Actionable Information
Episode 157
FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of provi…
1 year, 11 months ago
Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations
Episode 156
Financial social media influencers—or finfluencers—are growing in popularity as a cheap way to reach a new generation of investors. But using these i…
2 years ago
Amendments to FINRA Rule 4210: Covered Agency Transactions
Episode 155
In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and ri…
2 years ago
FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct
Episode 154
Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representati…
2 years, 1 month ago
Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity
Episode 153
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bo…
2 years, 1 month ago
Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team
Episode 152
Senior investor protection has long been a priority for FINRA, and the Vulnerable Adults and Seniors Team (VAST) is at the forefront of FINRA's effor…
2 years, 2 months ago
Preparing for Change: What to Know About the Shift to T+1
Episode 151
On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. This move, which returns the settlement time frame back …
2 years, 2 months ago
A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team
Episode 150
These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're …
2 years, 3 months ago