Podcast Episodes
Back to SearchMRTS 2.0: A Redesign for a Rapidly Evolving Market
Episode 149
U.S. financial markets today are not what they were ten years ago, five years ago, or even just a couple of years ago. Over the years, FINRA's Market…
2 years, 3 months ago
An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry
Episode 148
Generative Artificial Intelligence (AI) and large language models (LLM) are taking the world by storm, presenting numerous opportunities to create bu…
2 years, 4 months ago
Investors of Color: New Insights from FINRA’s Investor Education Foundation
Episode 147
The FINRA Investor Education Foundation has released a new report, Investors of Color in the United States, examining the behavior and attitudes of i…
2 years, 4 months ago
From NCFC to Enforcement Head: Reintroducing Bill St. Louis
Episode 146
FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors try to mani…
2 years, 5 months ago
Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
Episode 145
FINRA recently wrapped up a targeted review of the practices of certain member firms when it comes to communicating with retail investors regarding c…
2 years, 5 months ago
2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report
Episode 144
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no s…
2 years, 5 months ago
FINRA’s Blockchain Lab: Regulation and Innovation For The Future
Episode 138
In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, which serve…
2 years, 9 months ago
A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team
Episode 137
As the crypto asset space has grown, FINRA has evolved its oversight of the crypto asset activities of FINRA member firms and their associated person…
2 years, 10 months ago
An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Episode 136
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypt…
2 years, 10 months ago
2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program
Episode 121
The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. The 2023 Report on FINRA’s Examinati…
3 years, 5 months ago