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.

February 2013 Monthly Recap

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Revisit the latest FINRA Notices, compliance resources and news from February 2013.

January 2013 Monthly Recap

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Revisit the latest FINRA Notices, compliance resources and news from January 2013.

December 2012 Monthly Recap

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Revisit the latest FINRA Notices, compliance resources and news from December 2012.

Fall 2012 Firm Element Advisory — Part II

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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.

November 2012 Monthly Recap

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Revisit the latest FINRA Notices, compliance resources and news from November 2012.

October 2012 Monthly Recap

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Revisit the latest FINRA Notices, compliance resources and news from October 2012.

October 2012 Quarterly Disciplinary Review

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FINRA staff discuss examples of registered representatives’ misconduct, as featured in the October issue of FINRA's Quarterly Disciplinary Review.

September 2012 Monthly Recap

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Revisit the latest FINRA Notices, compliance resources and news from September 2012.

August 2012 Monthly Recap

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Revisit the latest FINRA Notices, compliance resources and news from August 2012.

July 2012 Quarterly Disciplinary Review

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FINRA staff discuss examples of registered representatives’ misconduct, as featured in the July issue of FINRA's Quarterly Disciplinary Review.

July 2012 Monthly Recap

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Revisit the latest FINRA Notices, compliance resources and news from July 2012.

June 2012 Monthly Recap

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Revisit the latest FINRA Notices, compliance resources and news from June 2012.

April 2012 Monthly Recap

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Revisit the latest FINRA Notices, compliance resources and news from April 2012.

Heightened Supervision of Complex Products, Part 1

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

March 2012 Monthly Recap

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Revisit the latest FINRA Notices, compliance resources and news from March 2012.

February 2012 Monthly Recap

 Listen now
Revisit the latest FINRA Notices, compliance resources and news from February 2012.

January 2012 Quarterly Disciplinary Review

 Listen now
FINRA staff discusses examples of registered representatives' misconduct, as featured in the October issue of FINRA's Quarterly Disciplinary Review.