February 7, 2011
Encryption of 8210 Information
Listen Now/Download | 6 min. 36 sec.
FINRA staff discusses amendments to FINRA Rule 8210 requiring encryption of information provided via portable media devices.
January 24, 2011
Trading Activity Fee
Listen Now/Download | 8 min. 31 sec.
This podcast presents a sampling of new frequently asked questions providing guidance about the trading activity fee.
January 18, 2011
Firm Element Advisory – Part III
Listen Now/Download | 10 min.
This podcast is the third in a three-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council’s most recent Firm Element Advisory.
January 3, 2011
December 2010 Monthly Recap
Listen Now/Download | 8 min. 47 sec.
Revisit the latest FINRA Notices, compliance resources and news from December 2010.
December 27, 2010
Firm Element Advisory – Part II
Listen Now/Download | 10 min. 33 sec.
This podcast is the second in a three-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council’s most recent Firm Element Advisory.
December 20, 2010
Firm Element Advisory - Part I
Listen Now/Download | 10 min. 40 sec.
This podcast is the first in a three-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council's most recent Firm Element Advisory.
December 14, 2010
FINRA CEO: Compliance Considerations for Product Reviews
Listen Now/Download | 9 min. 28 sec.
FINRA's Chairman and CEO Rick Ketchum explains regulatory concerns regarding firms' product review processes.
November 29, 2010
FINRA Rulebook Consolidation Update – November 2010
Listen Now/Download | 15 min. 01 sec.
FINRA staff introduces recently approved FINRA rules that go into effect December 2010 and February 2011.
November 22, 2010
Funding and Liquidity Risk Management (Part II)
Listen Now/Download | 8 min. 42 sec.
The second podcast in a two-part series on funding and liquidity risks includes more ideas to consider when developing related policies and procedures.
November 15, 2010
Funding and Liquidity Risk Management (Part I)
Listen Now/Download | 8 min. 30 sec.
Part one in a two-part series on funding and liquidity risks describes why they are of particular concern and basic policies and procedures to address them.
November 8, 2010
Municipal Securities (Part III of III)
Listen Now/Download | 6 min. 46 sec.
This podcast, the third in a three-part series on municipal securities, explores considerations for firms when gathering and disclosing information about these products.
October 18, 2010
Municipal Securities (Part II of III)
Listen Now/Download | 6 min. 35 sec.
This podcast, the second in a three-part series on municipal securities, describes recent amendments to the Securities Exchange Act's Municipal Disclosure Rule.
September 27, 2010
Municipal Securities (Part I of III)
Listen Now/Download | 7 min. 45 sec.
This podcast, the first in a three-part series on municipal securities, focuses on related sales practice and due diligence obligations.