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.
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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.
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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.
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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.
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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.
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Part one in a two-part series on complex products covers some characteristics that may qualify a product as "complex."
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Part two in a two-part series on complex products focuses on some heightened supervision procedures that may be appropriate.
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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.
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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.
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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.
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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.
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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.
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The final podcast in this series explains how the new FINRA continuing education requirements rule applies to operations professionals.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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FINRA staff introduces the new Municipal Continuing Disclosure Report available through FINRA's Report Center.
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FINRA staff highlights FINRA Rules 2111 (Suitability) and 2090 (Know Your Customer).
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FINRA staff discusses amendments to FINRA Rule 8210 requiring encryption of information provided via portable media devices.
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This podcast presents a sampling of new frequently asked questions providing guidance about the trading activity fee.
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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.
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Revisit the latest FINRA Notices, compliance resources and news from December 2010.
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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.
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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.
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FINRA's Chairman and CEO Rick Ketchum explains regulatory concerns regarding firms' product review processes.
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FINRA staff introduces recently approved FINRA rules that go into effect December 2010 and February 2011.
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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.
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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.
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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.
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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.
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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.