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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 45 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
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year....
Published 05/14/24
Published 05/14/24
On this episode, we hear from members of both the Vulnerable Adults and Seniors Intake and Investigations teams to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors.
Published 04/30/24
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