FINRA podcasts

From MarketsWiki
Jump to: navigation, search
ICE wiki logo.jpg

The Financial Industry Regulatory Authority (FINRA), the largest non-governmental regulator for all securities firms doing business in the U.S., features a series of podcasts, issued frequently, that highlight news, regulatory updates and other compliance topics. FINRA has created podcasts as a convenient way to get compliance-related information into the hands of compliance professionals. Podcasts cover compliance topics, updates and speeches. Those interested in hearing these audio reports can listen either from their desktop computer or can download to a portable digital media player.

To register:

Subscribe to FINRA podcasts


The following is a sampling of some topics as of Feb. 5, 2008:

  • January 2008, Monthly Recap (10 min. 29 sec.) Revisit the latest FINRA Notices, compliance resources and news from January 2008.
  • January 29, 2008, Supervisory Considerations for Working with Seniors, (2 min. 35 sec.) This podcast, the audio version of the latest FINRA webcast, describes what to be aware of when supervising sales to seniors.
  • January 22, 2008, Fairness Opinion (5 min. 8 sec.) This podcast discusses FINRA's Fairness Opinion rule.
  • January 14, 2008, The Modern Regulator (7 min. 23 sec.) FINRA CEO Mary Schapiro discusses what it means for FINRA to be a modern regulator.
  • January 8, 2008, What to Expect: Anti-Money Laundering Reviews During Routine Exams (20 min. 54 sec.) This podcast, the audio version of a webcast developed for the "What to Expect" series, focuses on the Anti-Money Laundering reviews conducted during FINRA's routine examinations.
  • January 3, 2008, December 2007 Monthly Recap (13 min. 40 sec.) Revisit the latest FINRA Notices, compliance resources and news from December 2007.
  • December 27, 2007, Considerations for Working with Seniors: Diminishing Capacity and Suspected Financial Abuse (6 min. 44 sec.) This podcast discusses the sensitive issues of working with customers who show signs of diminishing mental capacity and responding to suspected financial abuse.
  • December 18, 2007, Business Gifts (9 min. 27 sec.) This podcast, the audio version of the latest webcast developed for Frontline Staff, discusses a registered representative's responsibilities when giving business gifts.
  • December 10, 2007, Considerations for Working with Seniors: Free Lunch Seminars (3 min. 55 sec.) This podcast examines how "free lunch" seminars are sometimes used to mislead senior investors—and how FINRA is responding.
  • December 4, 2007, November 2007 Monthly Recap February 4, 2008 (14 min. 10 sec.) Revisit the latest FINRA Notices, compliance resources and news from November 2007.
  • November 26, 2007, Considerations for Working with Seniors: Communications (4 min. 26 sec.) This podcast focuses on communications considerations that firms and representatives should keep in mind when working with senior customers.
  • November 19, 2007, Considerations for Working with Seniors: Suitability (7 min. 5 sec.) This podcast focuses on suitability considerations that firms and representatives should keep in mind when working with senior customers.
  • November 15, 2007, Suitability Issues: Considerations for Product Exchanges (9 min. 28 sec.) This podcast, the audio version of a webcast developed for Frontline Staff, emphasizes the importance of establishing suitability when recommending that a client exchange products.
  • November 2, 2007, October 2007 Monthly Recap (9 min. 51 sec.) Revisit the latest FINRA Notices, compliance resources and news from October 2007.
  • October 31, 2007, Suitability Issues: An Institutional Focus, 11 min. 31 sec. This podcast, the audio version of a webcast developed for Frontline Staff, explains procedures a registered representative should follow when determining the suitability of a recommendation made to an institutional customer.
  • October 23, 2007, Improving Examination Results (10 min. 6 sec.) This podcast presents FINRA's top examination priorities and ways firms can avoid common exam-related pitfalls.
  • October 16, 2007, Small Firm Emergency Partner Program (8 min. 52 sec.) This podcast outlines a new, voluntary partnership program that helps firms provide service to their customers during an emergency.
  • October 11, 2007, FINRA CEO Mary Schapiro's Speech at the 2007 Fall Securities Conference (22 min. 24 sec.) This podcast is an audio recording of FINRA CEO Mary Schapiro's speech at the 2007 Fall Securities Conference.
  • October 11, 2007, Considerations for Working with Seniors (12 min. 43 sec.) This podcast, the audio version a webcast developed for Frontline Staff, reviews considerations a registered representative should employ when interacting with a senior customer.
  • October 11, 2007, FINRA Senior Executive Vice President of Regulatory Policy & Programs Elisse Walter's Speech at the 2007 Fall Securities Conference (13 min. 4 sec.) This podcast is an audio recording of FINRA Senior Executive Vice President of Regulatory Policy & Programs Elisse Walter's speech at the 2007 Fall Securities Conference.
  • October 9, 2007, Outside Business Activities & Private Security Transactions (12 min. 2 sec.) This podcast, the audio version of a webcast developed for Frontline Staff, explains guidelines that a representative should follow when engaging in any business activity that is not part of his or her work for the firm.