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Recent Episodes
Inside FINRA Forward: A Conversation with FINRA Board Chair Scott Curtis
On this episode, tune in to a conversation from FINRA’s 2026 Annual Conference, where FINRA Board Chair Scott Curtis and FINRA President and CEO Robert Cook discussed the partnership between board…
How FINRA Is Enhancing Member Firm Examinations
Examinations are a cornerstone of FINRA's regulatory oversight, but how we conduct them is evolving. As part of FINRA Forward, we're making our approach more risk-informed, more efficient, and more…
Trading Around the Clock: Inside FINRA's Trade Reporting Enhancements
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 system most investors never think about. Behind that number…
How FINRA Is Streamlining Data Requests
Data is at the heart of everything we do at FINRA—from examining firms to detecting suspicious trading to protecting investors. But the process of requesting, gathering, and analyzing data involves…
Financial Security in 2026: Tips for Investors and How Firms Can Help
Financial security is about more than just building wealth: It's about resilience, preparation, and having the tools to weather whatever comes your way. And right now, with rising costs, market…
Investors in the United States: Key Trends and Insights from the National Financial Capability Study
The FINRA Investor Education Foundation’s National Financial Capability Study is an expansive source of data and insights about the financial lives of U.S. adults. Conducted every three years, this…
Navigating the 2026 Regulatory Oversight Report: Key Insights from FINRA Leadership
The Annual Regulatory Oversight Report is one of FINRA’s most valued resources for member firms—and this year, we're publishing it earlier than ever in response to member feedback. The 2026 Report…
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…
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…
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…
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…
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…
National Financial Capability Study: Key Trends and Insights
In 2009, the FINRA Investor Education Foundation launched the first national study of financial capability of adults in the United States. Since its start, the National Financial Capability Study has…
A Conversation With FINRA Chair Scott Curtis
Resources mentioned in this episode:Blog Post: Fee Rebate for FINRA Member FirmsBlog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They ServeRequest for Comment:…
Robert Cook on FINRA Forward, and More
FINRA Forward—New Initiatives to Support Members, Markets, and the Investors They ServeFINRA360Request for Comment on Capital Formation Rules, Guidance and ProcessesRequest for Comment on Modern…
Vendor Vigilance: Navigating Third-Party Risk
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 so interested in it? What can FINRA member firms do to…
Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary
This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and…
Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape
As we observe National Consumer Protection Week amid a growing and changing financial fraud landscape, the time is ripe to talk about the ways in which investors can protect themselves from financial…
Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team
As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, the leaders of FINRA's new Strategic Intelligence and…
Unpacking the 2025 FINRA Annual Regulatory Oversight Report
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025 FINRA Regulatory Oversight Report provides just…
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FINRA Unscripted has published 61 episodes since September 2018, covering topics in Business, Government.
FINRA Unscripted is currently highly active with new episodes monthly. Average episode length is 28m.
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