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FINRA
FINRA Unscripted
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.
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Ratings & Reviews
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4.8 stars from 44 ratings
Excellent Resource
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“I am an industry compliance officer and find that these podcasts serve as an excellent best practices reminder. They keep me watchful for common, and not so common, potential red flag behaviors. I often send out a blast email to the folks I supervise after listening to the podcast.
The easy...”Read full review »
Pinkfairygal via Apple Podcasts ·
United States of America ·
08/16/13
Helpful audio
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“Finra is a helpful tool for a foreigner to learn the regulatory environment and the updates.”
Scottli818 via Apple Podcasts ·
China ·
08/10/11
Recent Episodes
In the securities world today, there is little daylight between money laundering and fraud. On this episode, we learn how FINRA’s Special Investigations Unit works to detect and investigate cases of illicit finance and market abuse, as well as how they proactively identify and mitigate threats.
Published 11/12/24
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 on this episode, Gen X is the one in the spotlight as we dig into the financial health of those born between 1965 and 1980 and,...
Published 10/29/24
Published 10/29/24
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