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  • Home > Broker-Dealers > Events & Education > FINRA Podcasts
  • FINRA Podcasts

    These podcasts have been developed and produced by the Financial Industry Regulatory Authority (FINRA). You can find a full listing of podcasts available from FINRA at finra.org/podcasts.

    Regulatory and Examination Priorities 2013 – Part 4

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    The fourth podcast in a four-part series on FINRA’s 2013 regulatory and examination priorities, as addressed in FINRA’s annual letter to firms.

    Regulatory and Examination Priorities 2013 – Part 3

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    The third podcast in a four-part series on FINRA’s 2013 regulatory and examination priorities, as addressed in FINRA’s annual letter to firms.

    Regulatory and Examination Priorities 2013 – Part 2

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    The second podcast in a four-part series on FINRA’s 2013 regulatory and examination priorities, as addressed in FINRA’s annual letter to firms.

    Regulatory and Examination Priorities 2013 – Part 1

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    The first podcast in a three-part series on FINRA’s 2013 regulatory and examination priorities, as addressed in FINRA’s annual letter to firms.

    Heightened Supervision of Complex Products - Part 2

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    Part one in a two-part series on complex products covers some characteristics that may qualify a product as "complex."

    Heightened Supervision of Complex Products - Part 1

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    Part two in a two-part series on complex products focuses on some heightened supervision procedures that may be appropriate.

    Fall 2012 Firm Element Advisory — Part 2

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    This podcast is the last in a two-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council's Fall 2012 Firm Element Advisory.

    Fall 2012 Firm Element Advisory — Part I

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    This podcast is the first in a two-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council's Fall 2012 Firm Element Advisory.

    Senior Designations - Part 2

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    Part two of this two-part series presents guidance on supervising the use of senior designations to imply expertise with senior and retirement investing.

    Senior Designations - Part 1

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    Part one of a two-part series on the use of senior designations to imply expertise with senior and retirement investing.

    Advertising Regulation Guidance

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    This podcast focuses on guidance for applying FINRA's Communications With the Public Rule and filing communications with FINRA for review.

    Operations Professional Registration Category – Part 3

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    The final podcast in this series explains how the new FINRA continuing education requirements rule applies to operations professionals.

    Operations Professional Registration Category – Part 2

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    The second podcast in the operations professional registration category series focuses on the category’s examination requirement and the Series 99 exam.

    Operations Professional Registration Category – Part 1

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    The first of three podcasts on the new operations professional registration category focuses on what it is and to whom it applies.

    Social Media and Personal Electronic Devices – Part 3

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    The last podcast in a three-part series on social media and electronic devices covers answers to some questions firms frequently ask about third-party posts, links and websites.

    Social Media and Personal Electronic Devices – Part 2

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    The second podcast in a three-part series on social media and electronic devices covers questions firms frequently ask about supervision and recordkeeping.

    Social Media and Personal Electronic Devices – Part 1

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    The first podcast in a three-part series on social media and electronic devices recaps requirements of FINRA's rules related to social media.

    FINRA Books and Records Rules – Part 2

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    The second of two podcasts on consolidated FINRA rules for books and records highlights four additional rules that go into effect in Dec. 2011.

    FINRA Books and Records Rules – Part 1

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    The first podcast in a two-part series on consolidated FINRA rules for books and records introduces four of eight new rules that go into effect in Dec. 2011.

    Suitability Guidance (Part 3)

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    This is the final podcast in a three-part series on additional guidance about FINRA's new consolidated suitability and know your customer rules.

    Suitability Guidance (Part 2)

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    This podcast is the second in a three-part series on additional guidance about FINRA's new consolidated suitability and know your customer rules.

    Suitability Guidance (Part 1)

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    This podcast is the first in a three-part series on additional guidance about FINRA's new consolidated suitability and know your customer rules.

    Arbitration Panel Composition

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    This podcast explains recent FINRA rule changes that allow customers with claims over $100,000 to choose an all-public arbitration panel.

    Municipal Continuing Disclosure Report

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    FINRA staff introduces the new Municipal Continuing Disclosure Report available through FINRA's Report Center.

    Suitability and Know Your Customer Rules

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    FINRA staff highlights FINRA Rules 2111 (Suitability) and 2090 (Know Your Customer).

    Encryption of 8210 Information

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    FINRA staff discusses amendments to FINRA Rule 8210 requiring encryption of information provided via portable media devices.

    Trading Activity Fee

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    This podcast presents a sampling of new frequently asked questions providing guidance about the trading activity fee.

    Firm Element Advisory – Part III

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    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.

    December 2010 Monthly Recap

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    Revisit the latest FINRA Notices, compliance resources and news from December 2010.

    Firm Element Advisory – Part II

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    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.

    Firm Element Advisory - Part I

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    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.

    FINRA CEO: Compliance Considerations for Product Reviews

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    FINRA's Chairman and CEO Rick Ketchum explains regulatory concerns regarding firms' product review processes.

    FINRA Rulebook Consolidation Update – November 2010

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    FINRA staff introduces recently approved FINRA rules that go into effect December 2010 and February 2011.

    Funding and Liquidity Risk Management (Part II)

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    The second podcast in a two-part series on funding and liquidity risks includes more ideas to consider when developing related policies and procedures.

    Funding and Liquidity Risk Management (Part I)

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    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.

    Municipal Securities (Part III of III)

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    This podcast, the third in a three-part series on municipal securities, explores considerations for firms when gathering and disclosing information about these products.

    Municipal Securities (Part II of III)

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    This podcast, the second in a three-part series on municipal securities, describes recent amendments to the Securities Exchange Act's Municipal Disclosure Rule.

    Municipal Securities (Part I of III)

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    This podcast, the first in a three-part series on municipal securities, focuses on related sales practice and due diligence obligations.

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