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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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  • 22 episodes
  • monthly
  • Avg 28 min
  • English

Episodes 22

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  • #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

  • #171
    Mar 4, 2025 · 31 min

    Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape

    As we observe National Consumer Protection Week amid a growing and changing financial fraud landscape, the time is ripe to talk about the ways in which investors can protect themselves from financial scams. On this episode, a member of the FINRA Investor Education Foundation team joins us to talk about how we can all become more informed and vigilant in today's complex financial world.

Showing 21–22 of 22 episodes