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.
October 25, 2010
Commodity Futures-Linked Securities
Listen Now/Download | 11 min. 14 sec
This podcast focuses on sales practice obligations for securities linked to commodity futures.
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.
October 11, 2010
October 2010 Quarterly Disciplinary Review
Listen Now/Download | 6 min. 59 sec
FINRA staff discusses examples of registered representatives’ misconduct, as featured in the October issue of FINRA's Quarterly Disciplinary Review.
September 20, 2010
Rulebook Consolidation: Short Sale Delivery Requirements
Listen Now/Download | 5 min. 42 sec.
FINRA staff discusses the new FINRA rule on short sale delivery requirements
.September 13, 2010
Trading-Pause Pilot Program
Listen Now/Download | 5 min. 34 sec.
FINRA staff members explain FINRA's trading-pause pilot program.
August 30, 2010
Requirements for Customer Assets
Listen Now/Download | 8 min. 18 sec.
This podcast focuses on requirements for verifying customer instructions to transmit or withdraw their assets.
August 23, 2010
BrokerCheck
Listen Now/Download | 8 min. 20 sec.
Amendments to FINRA rules related to BrokerCheck, an online investor tool for researching the professional backgrounds of firms and brokers.
August 16, 2010
Consolidated Account Reports
Listen Now/Download | 10 min. 51 sec.
FINRA guidance on consolidated account reports, including applicable rules and other considerations.
August 9, 2010
2010 Regulatory and Business Considerations – Part II
Listen Now/Download | 8 min. 50 sec.
The second podcast in a two-part series on regulatory and business considerations, as highlighted in FINRA’s 2010 annual letter to firms.
July 26, 2010
2010 Regulatory and Business Considerations – Part I
Listen Now/Download | 13 min. 4 sec.
The first podcast in a two-part series on regulatory and business considerations, as highlighted in FINRA’s 2010 annual letter to firms.
July 19, 2010
FINRA’s Business Continuity Planning Template
Listen Now/Download | 7 min. 30 sec.
This podcast describes FINRA's Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA's BCP Rule.
July 12, 2010
July 2010 Quarterly Disciplinary Review
Listen Now/Download | 6 min. 53 sec.
FINRA staff discusses examples of registered representatives’ misconduct, as featured in the July issue of FINRA's Quarterly Disciplinary Review.
July 19, 2010
FINRA’s Business Continuity Planning Template
Listen Now/Download | 7 min. 30 sec.
This podcast describes FINRA's Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA's BCP Rule.
July 12, 2010
July 2010 Quarterly Disciplinary Review
Listen Now/Download | 6 min. 53 sec.
FINRA staff discusses examples of registered representatives’ misconduct, as featured in the July issue of FINRA's Quarterly Disciplinary Review.
June 28, 2010
FINRA’s 2010 Examination Priorities (Part 2)
Listen Now/Download | 6 min. 38 sec.
The second podcast in a two-part series on FINRA’s 2010 examination priorities, as addressed in FINRA’s annual letter to firms.
June 14, 2010
FINRA’s 2010 Examination Priorities (Part 1)
Listen Now/Download | 8 min. 44 sec.
The first podcast in a two-part series on FINRA’s 2010 examination priorities, as addressed in FINRA’s annual letter to firms.
May 17, 2010
Principal-Protected Notes
Listen Now/Download | 13 min. 14 sec.
FINRA staff provides guidance on principal-protected notes, including how they work and how FINRA rules covering communications with the public, suitability and training obligations apply.
April 12, 2010
Quarterly Disciplinary Review – April 2010 Issue
Listen Now/Download | 8 min. 31 sec.
FINRA staff discuss examples of registered representatives misconduct, as featured in the April issue of FINRA's Quarterly Disciplinary Review.
March 29, 2010
Rulebook Consolidation – April
Listen Now/Download | 5 min. 18 sec.
FINRA staff introduce new FINRA rules for the consolidated rulebook that go into effect during the month of April.
March 22, 2010
Variable Life Settlements and Transactions in Related Investment Products - Your Firm's Obligations - Part II
Listen Now/Download | 9 min. 33 sec.
Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types.
February 22, 2010
Variable Life Settlements and Transactions in Related Investment Products – Your Firm's Obligations – Part I
Listen Now/Download | 7 min. 59 sec.
FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks.
February 8, 2010
Social Networking
Listen Now/Download | 10 min. 52 sec.
Guidance on firms' use of blogs and social networking sites for business communications.