Podcast Episodes
Back to SearchIntroducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit
Episode 112
The new Complex Investigations and Intelligence (CII) team and Cyber and Analytics Unit (CAU) are driving a shift in terms of how Member Supervision’…
3 years, 10 months ago
Financial Capability Study: Financial Wellbeing During a Global Pandemic
Episode 111
The COVID-19 pandemic disrupted many facets of American life but did not derail a trend toward increasing financial capability. Still, not all Americ…
3 years, 11 months ago
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
Episode 105
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in losses. That's just one reason why the …
4 years, 2 months ago
Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation
Episode 72
A broker-deal firm’s anti-money laundering efforts may overlap with any number of other regulatory concerns. On the last episode, we looked at the in…
5 years, 7 months ago
Overlapping Risks, Part I: Anti-Money Laundering and Cybersecurity
Episode 71
Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money launderin…
5 years, 8 months ago
Regulation Best Interest: Implementing a New Standard of Conduct
Episode 63
As of June 30, 2020, the U.S. Securities and Exchange Commission’s Regulation Best Interest—or Reg BI—is officially in effect. That means brokerage f…
6 years ago
Beyond Hollywood, Part II: AML Priorities and Best Practices
Episode 34
The world of money laundering is a fast-paced and ever evolving as we learned on the last episode of FINRA Unscripted. That can make it difficult for…
7 years, 1 month ago
Beyond Hollywood: Money Laundering in the Securities Industry
Episode 33
When three hapless employees inadvertently embezzle a bunch of cash in the movie “Office Space,” they decide the best way to cover it up is to launde…
7 years, 2 months ago
CRD Transformation: Enhancing the Registration & Disclosure Process
Episode 29
FINRA’s Central Registration and Depository (CRD) system is the central licensing and registration system not just for FINRA, but also for U.S. secur…
7 years, 4 months ago
The Annual Priorities Letter: A Fresh Take
Episode 26
The Annual FINRA Priorities Letter is a great resource for firms looking to improve their compliance, supervisory and risk management programs. But t…
7 years, 5 months ago