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FINRA Unscripted

FINRA

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.

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21 episodes
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Avg 28 min
English

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#191
September 1 · 27 min
FINRA's Intraday Margin Standard: What Investors and Members Need to Know
On this episode of FINRA Unscripted, learn why FINRA replaced the decades-old Pattern Day Trader rule—including the $25,000 minimum equity requirement—with a modern, risk-based intraday margin standard, and what the change means for investors and member firms.
#190
August 4 · 31 min
Inside FINRA's Financial Intelligence Fusion Center
On this episode of FINRA Unscripted, learn what has happened since the launch of FINRA's Financial Intelligence Fusion Center: how it works, early successes, and how information sharing between FINRA and member firms is transforming the fight against cyber and fraud threats.
#189
July 7 · 22 min
How FINRA Turns Member Feedback Into Action
On this episode of FINRA Unscripted, learn about the many ways members can engage with FINRA—from advisory committees to CEO roundtables—and how that interaction directly shapes rulemaking and drives internal improvements.
#188
June 2 · 27 min
Inside FINRA Forward: A Conversation with FINRA Board Chair Scott Curtis
On this episode of FINRA Unscripted, FINRA Board Chair Scott Curtis and FINRA President and CEO Robert Cook discuss the organization's strategic priorities, FINRA Forward initiatives, and the future of the self-regulatory model. Learn how FINRA's leadership is working to adapt regulation for a changing industry while maintaining investor protection and market integrity.
#187
May 5 · 34 min
How FINRA Is Enhancing Member Firm Examinations
On this episode of FINRA Unscripted, find out how FINRA is enhancing firm examinations through streamlined first firm exams, extended cycles for lower-risk firms, targeted data requests, and advance exam notices. Learn how these changes improve efficiency while maintaining robust investor protection and market oversight.
#186
April 7 · 23 min
Trading Around the Clock: Inside FINRA's Trade Reporting Enhancements
On this episode of FINRA Unscripted, we go behind the scenes of the market infrastructure most investors never see—from 4 a.m. trading windows to 23/5 operations and fractional shares—and learn why accurate trade reporting and transparency matter for everyone.
#185
March 3 · 34 min
How FINRA Is Streamlining Data Requests
On this episode of FINRA Unscripted, discover how data drives securities oversight at every level, from firm examinations to suspicious trading detection. FINRA leaders discuss evolving approaches to data requests, using technology and collaboration to work smarter, reduce regulatory burden, and strengthen investor protection.
#184
February 3 · 18 min
Financial Security in 2026: Tips for Investors and How Firms Can Help
Financial security means more than wealth: it's about resilience and preparation. On this episode of FINRA Unscripted, FINRA’s Gerri Walsh discusses what financial security looks like in 2026, shares insights from recent investor research, and explains how firms can help protect and empower their customers.
#183
January 6 · 37 min
Investors in the United States: Key Trends and Insights from the National Financial Capability Study
Learn more about the FINRA Investor Education Foundation latest research, "Investors in the United States: Results from the FINRA Foundation’s National Financial Capability Study," which offers insights into the attitudes, behaviors, knowledge and experiences of retail investors in the U.S.
#182
Dec 9, 2025 · 42 min
Navigating the 2026 Regulatory Oversight Report: Key Insights from FINRA Leadership
On this episode, FINRA leaders discuss the 2026 Regulatory Oversight Report, covering emerging threats from AI and crypto, evolving fraud schemes, cybersecurity risks, effective practices, and more. Learn how firms can leverage the information in the report for strengthened compliance planning.
#181
Dec 2, 2025 · 32 min
Making Your Voice Heard Through FINRA Member Engagement
Engagement is a two-way street at FINRA. On this episode of FINRA Unscripted, two regional committee members speak with FINRA's Kayte Toczylowski about how FINRA listens to industry feedback and takes action. Discover how member firms can actively participate in shaping regulation, access valuable resources, and build meaningful relationships.
#180
Nov 19, 2025 · 40 min
Building Cybersecurity Resilience Through FINRA Forward
FINRA Forward is transforming cybersecurity defense through collaborative intelligence sharing and more. On this episode of FINRA Unscripted, discover how tabletop exercises and workshops, the Cyber and Operational Resilience program, and the new Financial Intelligence Fusion Center can help FINRA member firms prevent, prepare for and respond to evolving cyber threats.
#179
Nov 4, 2025 · 26 min
A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo
In early October, FINRA CEO Robert Cook joined Small Firm Advisory Committee (SFAC) Chair Preston Haxo for a conversation at FINRA’s Small Firm Conference. The two spoke about FINRA Forward, the vital role of the SFAC, the practical ways firms can engage with FINRA, and more. On this episode of FINRA Unscripted, we tune in to that conversation.
#178
Oct 7, 2025 · 15 min
Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
As we kick off World Investor Week, we thought it was the perfect time to revisit some invaluable tips for investors looking to start the year off right with their financial goals. On this episode, which originally aired in January, FINRA’s Head of Investor Education Gerri Walsh shares insights on leveraging market trends and tools to achieve your money goals in 2025.
#177
Sep 16, 2025 · 17 min
Previewing FINRA’s Crypto and Blockchain Education Program
As member firm activity increases in blockchain and crypto assets, FINRA is launching a Crypto and Blockchain Education Program designed to empower member firm compliance and combat crypto fraud by broadening the knowledge base of member firms and associated persons.
#176
Aug 5, 2025 · 32 min
National Financial Capability Study: Key Trends and Insights
In 2009, the FINRA Investor Education Foundation launched the first national study of financial capability of adults in the United States. Since its start, the National Financial Capability Study has provided data on multiple indicators of capability, including financial behaviors, attitudes, and knowledge. National Financial Capability Study survey data is collected every three years. The 2024 survey, which was published in July, represents the sixth wave of data. This episodes dives into the k
#175
Jul 15, 2025 · 28 min
A Conversation With FINRA Chair Scott Curtis
At the 2025 FINRA Annual Conference on May 14, FINRA Chair Scott Curtis discusses topics of interest to FINRA member firms and other stakeholders, in conversation with President and CEO Robert Cook.
#174
Jun 17, 2025 · 23 min
Robert Cook on FINRA Forward, and More
At FINRA’s annual conference on May 13, 2025, President and CEO Robert Cook discusses the FINRA Forward initiative and other topics of interest to FINRA member firms and other stakeholders, in conversation with Kayte Toczylowski, VP, Member Relations and Education.
#173
May 6, 2025 · 18 min
Vendor Vigilance: Navigating Third-Party Risk
Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interested in it? What can FINRA member firms do to mitigate that risk? And how can FINRA help? These questions will be answered on the latest episode of FINRA Unscripted, featuring a returning guest, FINRA's Executive Vice President of Member Supervision Greg Ruppert.
#172
Apr 1, 2025 · 27 min
Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary
This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabeth Yoka, the manager of VAST Intake, and Michael Paskin, the manager of the VAST Investigations, to discuss the Helpline and its 10 years of protectin

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