FINRA Unscripted
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Top 10 FINRA Unscripted Episodes
Goodpods has curated a list of the 10 best FINRA Unscripted episodes, ranked by the number of listens and likes each episode have garnered from our listeners. If you are listening to FINRA Unscripted for the first time, there's no better place to start than with one of these standout episodes. If you are a fan of the show, vote for your favorite FINRA Unscripted episode by adding your comments to the episode page.
Unlocking Transparency: Navigating FINRA’s Market Data Offerings
FINRA Unscripted
12/10/24 • 23 min
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 Market Regulation and Transparency Services team, Senior Vice President of Strategic Regulatory Engagement Alex Ellenberg, and Senior Director of Transparency Services Equities Brendan Loonam. They join us to discuss periodic aggregate market data sets, including some new data recently added to FINRA's website, and how FINRA makes this information available to the public in support of its mission of investor protection and market integrity.
Resources mentioned in this episode:
FINRA Data
OTC Transparency Data
NMS Equity and Option Order Routing Reports (SEC Rule 606(a) Reports)
About NMS Equity and Options Routing Reports (SEC 606(a) Reports)
OTC (ATS & Non-ATS) Transparency
Reg Notice 23-10: FINRA Requests Comment on a Proposal to Require Members to Provide Rule 605 Order Execution Quality Reports to FINRA for Centralized Publication
Episode 149: MRTS 2.0: A Redesign for a Rapidly Evolving Market
11/01/22 • 24 min
The market for crypto assets has seen continued growth and firms are looking for ways to get involved in the digital asset space. So far, about two dozen firms have been approved by FINRA to provide services in securities backed by digital assets. And more firms are looking to follow in their footsteps.
On this episode, we hear from Armando Valdes, an application manager with FINRA’s Membership Application Program (MAP), and David Aman, a senior advisor with the Office of Financial and Operational Risk Policy within the Chief Legal Office, about the role FINRA’s MAP team is playing in the digital asset space, some common sticking points in these new and continuing member applications and how FINRA is working to support innovation while protecting investors in this dynamic environment.
Resources mentioned on this episode:
SEC/FINRA July 8, 2019 Joint Statement on Broker-Dealer Custody of Digital Asset Securities
SEC Statement on the Custody of Digital Asset Securities by Special Purpose Broker-Dealers
Have questions? Email: [email protected]
The Victim Experience: When Romance Leads to a Crypto Scam
FINRA Unscripted
10/01/24 • 27 min
The number of highly sophisticated crypto scams is growing, with Americans losing an estimated $5.6 billion to crypto-related scams in 2023, according to the FBI, a 45 percent jump from the prior year. And often crypto fraud is tied in with romance scams, with criminals targeting victims through texts, dating sites, social media, networking channels or other apps. While we all like to think we would be immune to such scams, research has shown time and again that everyone is vulnerable, even the most highly educated among us.
On this episode, we hear the firsthand accounts of Jules and Brian, two victims of romance crypto scams, who recently spoke at a FINRA Foundation conference on disrupting the cycle of financial fraud. They sat down with Kim Casci-Palangio, program manager of the Cybercrime Support Network (CSN), to share their experiences, the financial, mental and emotional toll they took, and their efforts to recover from their loss. This audio was edited to remove personally identifying information about our victims.
Resources mentioned in this episode:
FBI Internet Crime Complaint Center (IC3)
Non-Traditional Costs of Financial Fraud
Investor Alert: Relationship Investment Scams
‘Pig Butchering’ Scams: What They Are and How to Avoid Them
AML Update: The Latest Trends and Effective Practices
FINRA Unscripted
05/31/22 • 26 min
Money laundering looks different in the securities industry and that poses its own challenges. But add to that a landscape of constantly evolving threats and it is a lot to keep up with.
On this episode, Jason Foye, Senior Director of the National Cause and Finance Crimes Detection Program’s Special Investigative Unit joins us once again to tell us about the latest trends, emerging threats and how firms can ensure their AML program remains strong and effective.
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Resources mentioned in this episode:
Episode 33: Beyond Hollywood: Money Laundering in the Securities Industry
Episode 34: Beyond Hollywood, Part II: AML Priorities and Best Practices
Episode 71: Overlapping Risks, Part 1: Anti-Money Laundering and Cybersecurity
Episode 72: Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation
Episode 86: FINRA’s Financial Intelligence Unit: Connecting the Dots
2022 Report on FINRA’s Exam and Risk Monitoring Program: Cybersecurity
2022 Report on FINRA’s Exam and Risk Monitoring Program: AML
Financial Crimes Enforcement Network (FinCEN) Priorities
FinCEN Alert: Potential Russian Sanctions Evasion Attempts
SEC Staff Bulletin: Risks Associated with Omnibus Accounts Transacting in Low-Priced Securities
Regulatory Notice 22-06: U.S. Imposes Sanctions on Russian Entities and Individuals
Cybersecurity Awareness Month: Stay Connected and Protected
FINRA Unscripted
10/23/18 • 22 min
In an era when much of our lives happen online, from banking to social media, cybersecurity is more important than ever. And we all have a role to play—not just in keeping ourselves safe, but also our employers and customers.
As we become more connected, we also must also become more vigilant. But what do you do to remain secure? Whether you are a broker, an investor or just simply an internet user, we’ve got tips for you on this episode of FINRA Unscripted.
In honor of National Cybersecurity Awareness Month, Barry Suskind and Eugene Mindel of FINRA’s Cyber and Information Security team join us to provide resources and best practices for keeping you, your family and your clients protected while online.
Resources mentioned in this episode:
How the Cloud Has Revolutionized FINRA Technology
FINRA Unscripted
07/03/18 • 25 min
When you think of financial regulation, you don’t typically think of innovation, but in fact, FINRA was an early adopter of the cloud for critical business functions.
Today, FINRA has more than 30 petabytes of data in the cloud—or about 60 million years’ worth of MP3 music. With the cloud, FINRA has been able to build a massive data lake that allows its regulatory staff to conduct business more efficiently and more effectively than ever.
In this episode, FINRA’s Chief Information Officer Steve Randich joins us to discuss all this and more. Plus, we learn why Steve turned down a promising career in the dishwashing industry to end up working in technology.
Resources mentioned in this episode:
Moving Your Production System to the Cloud? 6 Things You Need to Know
How the Cloud Is Changing Financial Regulation
*Note: * Steve misspoke when describing the size of a petabyte. One petabyte would be equal to about 2,000 years' worth of music files, so 30 petabytes would be equal to about 60,000 years' worth of files.
10/29/24 • 34 min
Gen X is often called the Forgotten Generation given how often they’re overlooked in favor of conversation around boomers, millennials or now even Gen Z. But not today.
On this episode, Gen X is the one in the spotlight as we sit down Gary Mottola, research director with the FINRA Foundation, Ritta McLaughlin, director of community outreach with FINRA’s Investor Education team, and Jeremy Ko, the 2024 FINRA Foundation Ketchum Visiting Scholar, to dig into the financial health of those born between 1965 and 1980 and, importantly, their perception of their own financial well-being.
Resources mentioned in this episode:
How Gen X Compares Financially to Other Generations: Doing Alright but Feeling Bad
FINRA Foundation National Financial Capability Study
Episode 19: Debunked: 7 Myths about Millennials—the Underinvested Generation
Episode 22: Millennials and Money: How to Get Started on the Road to Investing
Episode 134: Gen Z Investors: A Look at the Attitudes and Behaviors of the Youngest Investors
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11/26/24 • 32 min
This episode originally aired in August 2023.
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team
On this episode, the first in a three-part series, we sit down with Omer Meisel, Senior Vice President of the Complex Investigations and Intelligence Group, Jason Foye, Senior Director and Head of FINRA's Crypto Hub, and Reema Abdelhamid, a Director with FINRA Enforcement to learn more about the strategy and the role of the Hub and FINRA’s work to advance its mission of investor protection and market integrity.
Resources mentioned in this episode:
FINRA Blog: An Inside Look into FINRA’s Crypto Asset Work
Episode 112: FINRA's Complex Investigations and Intelligence Team & Cyber and Analytics Unit
Episode 138: FINRA’s Blockchain Lab: Regulation and Innovation For The Future
Episode 145: Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
Episode 158: An Update on FINRA’s Crypto Asset Work and the Crypto Hub
Episode 162: When Romance Leads to a Crypto Scam
Investor Insights: What Is a Blockchain, and Why Should I Care?
Amendments to FINRA Rule 4210: Covered Agency Transactions
FINRA Unscripted
06/11/24 • 28 min
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 risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions.
On this episode, we talk to David Aman, senior advisor, and James Barry, director of Credit Regulation, both with FINRA's Office of Financial and Operational Risk Policy, and with Michael MacPherson, a senior advisor with Member Supervision’s Risk Monitoring team, to learn more about the purpose of the rule, which firms might be impacted by the change and what those firms need to think about to ensure compliance with the amended rule.
Resources mentioned in this episode:
Contact: [email protected]
FAQs Regarding Covered Agency Transaction Margin under FINRA Rule 4210
Reg Notice 23-14: Amendments to Covered Agency Transaction Requirements Under FINRA Rule 4210
The Latest Research: Why Do Targets Engage with Scams?
FINRA Unscripted
10/15/24 • 34 min
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 lose money? These are important questions to ask – and find the answers to – both as consumers and as an industry with an interest in disrupting the cycle of financial fraud.
On this episode, we hear from moderator Emma Fletcher, a senior data researcher with the FTC, and panelists Marti DeLiema, Assistant Research Professor at the University of Minnesota, Twin Cities, Duygu Başaran Şahin, a postdoctoral research fellow at the RAND Center for the Study of Aging, and Gary Mottola, research director for the FINRA Foundation, about the latest research into these important questions and learn more about what might stop someone from engaging with a fraud to begin with.
Resources mentioned in this episode:
Exposed to Scams: What Separates Victims from Non-Victims
Does One Size Fit All? An Examination of Risk Factors by Scam Type
Fraud Victimization Across the Lifespan: Evidence on Repeat Victimization Using Perpetrator Data
Addressing the Problem of Chronic Fraud Victimization
Vulnerability of Older Adults to Government Impersonation Scams
A Review of Scam Prevention Messaging Research
Protecting Retail Customers from Gift Card Payment Scams
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FAQ
How many episodes does FINRA Unscripted have?
FINRA Unscripted currently has 166 episodes available.
What topics does FINRA Unscripted cover?
The podcast is about Investing, Compliance, Podcasts, Business, Stocks, Government and Financial Services.
What is the most popular episode on FINRA Unscripted?
The episode title 'FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct' is the most popular.
What is the average episode length on FINRA Unscripted?
The average episode length on FINRA Unscripted is 25 minutes.
How often are episodes of FINRA Unscripted released?
Episodes of FINRA Unscripted are typically released every 14 days.
When was the first episode of FINRA Unscripted?
The first episode of FINRA Unscripted was released on Nov 6, 2017.
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