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FINRA Unscripted

FINRA Unscripted

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 FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.FINRA 2018 Ciencia Política Economía Finanzas Personales Política y Gobierno
Episodios
  • A Conversation With FINRA Chair Scott Curtis

    A Conversation With FINRA Chair Scott Curtis
    Jul 15 2025

    Resources mentioned in this episode:

    Blog Post: Fee Rebate for FINRA Member Firms

    Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve

    Request for Comment: Outside Activities Rule—2025-05

    Rule Proposal: Gifts Rule—2025-003

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    Subscribe to our show on Apple Podcasts, Google Play and by RSS.
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    28 m
  • Robert Cook on FINRA Forward, and More

    Robert Cook on FINRA Forward, and More
    Jun 17 2025

    FINRA Forward—New Initiatives to Support Members, Markets, and the Investors They Serve

    FINRA360

    Request for Comment on Capital Formation Rules, Guidance and Processes

    Request for Comment on Modern Workplace Rules, Guidance and Processes
    Request for Comment on Associated Persons’ Outside Activities

    Statement to Correct Misinformation About Outside Activities Proposal

    Broad Review to Modernize Rules Regarding Member Firms and Associated Persons

    Proposed Rule Change to Modify the Implementation Schedule Regarding Corporate Financing Fees

    Proposed Rule Change on Transaction Reporting

    Engage With FINRA

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    23 m
  • Vendor Vigilance: Navigating Third-Party Risk

    Vendor Vigilance: Navigating Third-Party Risk
    May 6 2025

    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 interested in it? What can FINRA member firms do to mitigate that risk? And how can FINRA help?

    On this episode of FINRA Unscripted, FINRA’s Executive Vice President of Member Supervision Greg Ruppert shares valuable insights on why firms are facing heightened challenges with third-party vendors, the emerging risks posed by fourth-party relationships, and how FINRA's intelligence sharing is helping member firms protect themselves from vendor-related cybersecurity threats.

    Resources mentioned in this episode:

    2025 Annual Regulatory Oversight Report

    CEO Blog: New FINRA Initiatives to Support Members, Markets, and the Investors They Serve

    FINRA Cybersecurity Guidance

    Ep. 170: Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team

    Ep. 169: Unpacking FINRA’s 2025 Regulatory Oversight Report

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    18 m
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