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.
April 2012 Monthly Recap
May 2, 2012
Revisit the latest FINRA Notices, compliance resources and news from April 2012.
Heightened Supervision of Complex Products, Part 1
April 23, 2012
Part one in a two-part series on complex products covers some characteristics that may qualify a product as "complex."
March 2012 Monthly Recap
April 3, 2012
Revisit the latest FINRA Notices, compliance resources and news from March 2012.
February 2012 Monthly Recap
March 5, 2012
Revisit the latest FINRA Notices, compliance resources and news from February 2012.
January 2012 Quarterly Disciplinary Review
February 21, 2012
FINRA staff discusses examples of registered representatives' misconduct, as featured in the October issue of FINRA's Quarterly Disciplinary Review.