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FINRA Unscripted

FINRA
FINRA Unscripted
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  • Making Your Voice Heard Through FINRA Member Engagement
    As a self-regulatory organization, engagement with member firms is vital to FINRA’s success. On this episode, we highlight engagement opportunities, provide insight into how FINRA is listening and taking action on what we're hearing, and encourage even more listeners to get actively involved in FINRA's outreach.FINRA Senior Vice President Kayte Toczylowski is joined by two current FINRA regional committee members: Serving on FINRA's Midwest regional committee, Margaret Dubil, Director of Surveillance for Stifel, Nicolaus & Company, and Stifel Independent Advisors; and serving on the New York regional committee, Peter Garcia, Head of Business Development and Controls at Rabobank and Officer of Rabo Securities USA, Rabobank's U.S. broker- dealer. The two provide firsthand experience on engaging with FINRA.Resources mentioned in this episode:FINRA ForwardFINRA Crypto and Blockchain Education ProgramBlog Post: FINRA Forward’s Rule Modernization—An UpdateBlog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They ServeFINRA Conferences and Events2025 Involvement and Election Process OverviewFINRA Engagement PortalFINRA Advisory Committees Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.
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  • Building Cybersecurity Resilience Through FINRA Forward
    Today's cybersecurity threats aren't isolated incidents—they are sophisticated operations orchestrated by organized criminals and even nation states. This new reality demands we respond not as individual organizations, but as a unified industry with shared intelligence and coordinated defenses. Through FINRA Forward, we are applying this perspective to create practical tools that firms can use to protect themselves and their clients from emerging threats. On this episode, we explore the topic with Bryan Smith, FINRA’s Senior Vice President of Complex Investigations and Intelligence; Brita Bayatmakou, Vice President of Strategic and Threat Intelligence; and Jason Beachy, Vice President of the Cyber and Analytics Unit. Our guests discuss how FINRA is working to provide firms with the intelligence, preparation, and collaborative tools they need to better protect themselves and their customers in an increasingly complex threat landscape. These efforts include workshops and tabletop exercises, the Cyber and Operational Resilience program, and our forthcoming Financial Intelligence Fusion Center.Resources mentioned in this episode:FINRA ForwardFINRA Crypto and Blockchain Education ProgramBlog Post: FINRA Forward’s Rule Modernization—An UpdateBlog Post: Vendors, Intelligence Sharing and FINRA’s MissionBlog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They ServeEp. 177: Previewing FINRA’s Crypto and Blockchain Education ProgramFIFC Email: [email protected] Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.
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  • A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo
    Small firms face unique challenges. The regulatory landscape is evolving rapidly. And the conversation between regulators and the regulated is more important than ever. How does FINRA ensure that small firm voices are heard? How do small firms navigate an increasingly complex environment while serving their clients effectively? On this episode, we bring you a conversation between FINRA President and CEO Robert Cook and Small Firm Advisory Committee (SFAC) Chair Preston Haxo from FINRA's Small Firm Conference in Dallas on Oct. 9. The two explored the vital role of the SFAC, the ongoing progress of our FINRA Forward initiatives, the practical ways small firms can engage with FINRA, and more.Resources mentioned in this episode:FINRA ForwardSmall Firm Advisory Committee (SFAC)FINRA Small Firm HelplineThe Small Firm BriefingFINRA Crypto and Blockchain Education ProgramReg Notice 25-13: Form U4 Recordkeeping RequirementsReg Notice 25-07: The Modern WorkplaceReg Notice 25-06: Capital FormationReg Notice 25-04: Rule ModernizationBlog Post: FINRA Forward’s Rule Modernization—An UpdateBlog Post: Vendors, Intelligence Sharing and FINRA’s MissionBlog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They ServeEp. 177: Previewing FINRA’s Crypto and Blockchain Education Program Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.
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  • Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
    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 habits. In thinking about your New Year's resolutions, have you considered whether you're making financially healthy decisions?On this episode, we sit down with Gerri Walsh, President of the FINRA Investor Education Foundation and Senior Vice President of Investor Education, to uncover the trends and tips investors need to get their finances in order for 2025. Resources mentioned in this episode:BrokerCheckMarket Data CenterFund AnalyzerFixed Income DataFINRA Investor Education FoundationProtecting Consumers from Fraud Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.
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  • Previewing FINRA’s Crypto and Blockchain Education Program
    As member firm activity increases in blockchain and crypto assets, FINRA is launching a Crypto and Blockchain Education Program designed to empower member firm compliance and combat crypto fraud by broadening the knowledge base of member firms and associated persons. On this episode, FINRA’s Crypto Hub Chief Jason Foye, Director of Critical Skills and Capabilities Training Rowan Job-White and Director of Continuing Education Services Genay Glasgo delve into the program’s self-paced e-learning courses and an upcoming in-person training.Resources mentioned in this episode:FINRA Crypto and Blockchain Education ProgramFinancial Learning ExperienceEmail: [email protected]: [email protected] Topics: Crypto AssetsSEC Crypto Task ForcePodcast: An Introduction to FINRA’s Crypto Asset Work and the Crypto HubCertified Regulatory and Compliance Professional ProgramBlog Post: FINRA Forward Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.
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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 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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