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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...
Every time you check a stock price on your phone or watch a ticker scroll across a screen, you are seeing the result of a complex reporting...
Data is at the heart of everything we do at FINRA—from examining firms to detecting suspicious trading to protecting investors. But the proc...
Financial security is about more than just building wealth: It's about resilience, preparation, and having the tools to weather whatever com...
The FINRA Investor Education Foundation’s National Financial Capability Study is an expansive source of data and insights about the financia...
The Annual Regulatory Oversight Report is one of FINRA’s most valued resources for member firms—and this year, we're publishing it earlier t...
As a self-regulatory organization, engagement with member firms is vital to FINRA’s success. On this episode, we highlight engagement opport...
Today's cybersecurity threats aren't isolated incidents—they are sophisticated operations orchestrated by organized criminals and even natio...
Small firms face unique challenges. The regulatory landscape is evolving rapidly. And the conversation between regulators and the regulated...
This episode originally aired in January 2025. Many of us view January as a time to make a fresh start, and as a time to bid farewell to bad...
As member firm activity increases in blockchain and crypto assets, FINRA is launching a Crypto and Blockchain Education Program designed to...
In 2009, the FINRA Investor Education Foundation launched the first national study of financial capability of adults in the United States. S...
Resources mentioned in this episode: Blog Post: Fee Rebate for FINRA Member Firms Blog Post: FINRA Forward Initiatives to Support Members, M...
FINRA Forward—New Initiatives to Support Members, Markets, and the Investors They Serve FINRA360 Request for Comment on Capital Formation Ru...
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 s...
This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service t...
As we observe National Consumer Protection Week amid a growing and changing financial fraud landscape, the time is ripe to talk about the wa...
As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripte...
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity....
Many of us view January as a time to make a fresh start, and as a time to bid farewell to bad habits. In thinking about your New Year's reso...
Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, we sit down with two member...
This episode originally aired in August 2023. In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving...
In the securities world today, there is little daylight between money laundering and fraud. As these two spaces have come to increasingly ov...
Gen X is often called the Forgotten Generation given how often they’re overlooked in favor of conversation around boomers, millennials or no...
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 lik...
The number of highly sophisticated crypto scams is growing, with Americans losing an estimated $5.6 billion to crypto-related scams in 2023,...
Last week, FINRA CEO Robert Cook spoke to an audience of regulators, academics, law enforcement agencies, advocacy groups and financial firm...
FINRA’s Examinations team carries out one of FINRA’s core functions in the examination of FINRA member firms. In an effort to continuously i...
FINRA’s Membership Application Program (MAP) team serves as the first point of contact for firms looking to enter the broker-dealer industry...
Last summer, we introduced listeners to FINRA’ Crypto Hub and enterprise-wide strategy for keeping up with the evolving crypto asset regulat...
FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim...
Financial social media influencers—or finfluencers—are growing in popularity as a cheap way to reach a new generation of investors. But usin...
In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic ri...
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 Rep...
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, optio...
Senior investor protection has long been a priority for FINRA, and the Vulnerable Adults and Seniors Team (VAST) is at the forefront of FINR...
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 fr...
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...
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...
Generative Artificial Intelligence (AI) and large language models (LLM) are taking the world by storm, presenting numerous opportunities to...
The FINRA Investor Education Foundation has released a new report, Investors of Color in the United States, examining the behavior and attit...
FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors tr...
FINRA recently wrapped up a targeted review of the practices of certain member firms when it comes to communicating with retail investors re...
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity,...
In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, wh...
As the crypto asset space has grown, FINRA has evolved its oversight of the crypto asset activities of FINRA member firms and their associat...
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created...
The best tool FINRA provides when it comes to firms developing their annual compliance program is now available. The 2023 Report on FINRA’s...
The new Complex Investigations and Intelligence (CII) team and Cyber and Analytics Unit (CAU) are driving a shift in terms of how Member Sup...
The COVID-19 pandemic disrupted many facets of American life but did not derail a trend toward increasing financial capability. Still, not a...
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in losses. That's just one reason...