FINRA Podcasts
FINRA Podcasts provide compliance officers and other staff at broker-dealers information on regulatory topics from the largest independent securities regulator in the US.
FINRA 2010-03-08: Reverse Convertibles
Mon, 8 Mar 2010 13:00:00 EST
Guidance on sales practice obligations related to reverse convertibles. Learn more at http://www.finra.org/education.
FINRA 2010-03-01: February 2010 Monthly Recap
Mon, 1 Mar 2010 15:45:00 EST
Revisit the latest FINRA Notices, compliance resources and news from February 2010. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.
FINRA 2010-02-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm's Obligations - Part I
Mon, 22 Feb 2010 14:30:00 EST
FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.
FINRA 2010-02-16: What to Expect: The U4 and U5 Filing Process
Tue, 16 Feb 2010 11:15:00 EST
This podcast focuses on the process for submitting Form U4 and Form U5 filings. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.
FINRA 2010-02-08: Social Networking
Mon, 08 Feb 2010 10:00:00 EST
Guidance on firms' use of blogs and social networking sites for business communications. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.
FINRA 2010-02-01: January 2010 Monthly Recap
Mon, 01 Feb 2010 13:30:00 EST
Revisit the latest FINRA Notices, compliance resources and news from January 2010. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.
FINRA 2010-01-25: FINRA Rulebook Consolidation
Mon, 25 Jan 2010 10:00:00 EST
FINRA staff introduce new FINRA rules for the consolidated rulebook that go into effect during the month of February. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.
FINRA 2010-01-19: Quarterly Disciplinary Review - January 2010 Issue
Tue, 19 Jan 2010 10:00:00 EST
FINRA staff discuss examples of registered representatives' misconduct, as featured in the January issue of FINRA's Quarterly Disciplinary Review. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.
FINRA 2010-01-11: What to Expect: Filing a Change in Membership Application
Mon, 11 Jan 2010 11:00:00 EST
This podcast, the audio version of a FINRA webcast, focuses on the process for filing Continuing Membership Applications. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.
FINRA 2010-01-05: FINRA December 2009 Monthly Recap
Tue, 05 Jan 2010 11:30:00 EST
Revisit the latest Notices, compliance resources and news from December 2009. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.
FINRA 2009-12-28: TRACE Expansion
Mon, 28 Dec 2009 10:00:00 EST
FINRA staff discuss amendments to rules that govern TRACE, the Trade Reporting and Compliance Engine.
FINRA 2009-12-21: Pandemic Preparedness - Part II
Mon, 21 Dec 2009 10:00:00 EST
The second podcast in a two-part series on pandemic preparedness offers suggestions for addressing the top three challenges firms expect during pandemics.
FINRA 2009-12-14: Rulebook Consolidation
Mon, 14 Dec 2009 10:00:00 EST
FINRA staff introduce 11 new FINRA rules for the consolidated rulebook, 10 of which are effective on December 14, and one that goes into effect on January 1, 2010.
FINRA 2009-12-07: Rethinking Regulation and Industry Business Practices
Mon, 07 Dec 2009 10:00:00 EST
FINRA's Chairman and CEO discusses how regulators and market participants should respond to the current financial landscape.
FINRA 2009-12-01: FINRA November 2009 Monthly Recap
Tue, 01 Dec 2009 11:30:00 EST
Revisit the latest Notices, compliance resources and news from November 2009.
FINRA 2009-11-23: Pandemic Preparedness - Part I
Mon, 23 Nov 2009 15:00:00 EST
The first podcast in a two-part series on pandemic preparedness focuses on business continuity planning and results from a recent FINRA survey.
FINRA 2009-11-16: Changes to Two of the Securities Industry's Regulatory Element Continuing Education Programs (S101/S106)
Mon, 16 Nov 2009 10:00:00 EST
This podcast covers upcoming changes to two Continuing Education Regulatory Element Programs: the S101 and the S106.
FINRA 2009-11-09: Deferred Variable Annuities
Mon, 09 Nov 2009 10:00:00 EST
A discussion of FINRA's rule governing recommended purchases and exchanges of deferred variable annuities.
FINRA 2009-11-02: FINRA October 2009 Monthly Recap
Mon, 02 Nov 2009 15:00:00 EST
Revisit the latest Notices, compliance resources and news from October 2009.
FINRA 2009-10-26: Investment Banking Representative
Mon, 26 Oct 2009 10:00:00 EDT
This podcast introduces a new registration category that describes people who supervise or perform investment banking activities.
FINRA 2009-10-19: Quarterly Disciplinary Review - October 2009 Issue
Mon, 19 Oct 2009 10:00:00 EDT
FINRA staff discuss examples of registered representatives' misconduct, as featured in the October issue of FINRA's Quarterly Disciplinary Review.
FINRA 2009-10-12: FINRA Rulebook Consolidation
Mon, 12 Oct 2009 10:00:00 EDT
FINRA staff discuss new rules that the SEC recently approved for inclusion in the consolidated FINRA Rulebook.
FINRA 2009-10-05: FINRA September 2009 Monthly Recap
Mon, 05 Oct 2009 10:00:00 EDT
Revisit the latest Notices, compliance resources and news from September 2009.
FINRA 2009-09-21: Continuing Membership Applications - Part 3
Mon, 21 Sep 2009 10:00:00 EDT
The final podcast in the three-part series on continuing membership applications describes what occurs after a firm submits one to FINRA.
FINRA 2009-09-21: Uniform Forms Electronic Filing Requirements
Mon, 14 Sep 2009 10:00:00 EDT
FINRA staff discuss a consolidated rule on electronic filing requirements for uniform forms and related supervision requirements.
FINRA 2009-09-14: Continuing Membership Applications - Part 2
Mon, 14 Sep 2009 10:00:00 EDT
The second of three podcasts on continuing membership applications explains how to submit one to FINRA.
FINRA 2009-09-08: Anti-Money Laundering - Due Diligence for Private Banking Accounts
Tue, 08 Sep 2009 10:00:00 EDT
This podcast, the audio version of a FINRA webcast, describes anti-money laundering due diligence requirements for working with private banking clients.
FINRA 2009-09-01: FINRA August 2009 Monthly Recap
Tue, 01 Sep 2009 14:30:00 EDT
Revisit the latest Notices, compliance resources and news from August 2009.
FINRA 2009-08-24: Continuing Membership Applications - Part 1
Mon, 24 Aug 2009 10:00:00 EDT
The first podcast in a three-part series on continuing membership applications, or CMAs, discusses what events might trigger a firm to file a CMA.
FINRA 2009-08-17: Quarterly Disciplinary Review - July 2009 Issue
Mon, 17 Aug 2009 10:00:00 EDT
FINRA staff discuss examples of registered representatives' misconduct, as featured in the July issue of FINRA's Quarterly Disciplinary Review.
FINRA 2009-08-10: FINRA Rulebook Consolidation
Mon, 10 Aug 2009 10:00:00 EDT
This podcast includes a discussion of eight new FINRA rules that become effective on August 17, 2009.
FINRA 2009-08-03: FINRA July 2009 Monthly Recap
Mon, 03 Aug 2009 18:00:00 EDT
Revisit the latest Notices, compliance resources and news from July 2009.
FINRA 2009-07-29: Leadership Series: Regulatory Reform
Wed, 29 Jul 2009 10:00:00 EDT
FINRA Chairman and CEO Rick Ketchum discusses regulatory reform and why independent regulation is more relevant than ever.
FINRA 2009-07-27: FTC's Red Flags Rule Template
Mon, 27 Jul 2009 10:00:00 EDT
FINRA staff discuss the FTC's Red Flags Rule and introduce a new template that firms can use to set up an identity theft prevention program.
FINRA 2009-07-20: Anti-Money Laundering: Institutional - Due Diligence for Foreign Correspondent Accounts
Mon, 20 Jul 2009 10:00:00 EDT
This podcast, the audio version of a FINRA webcast, describes anti-money laundering due diligence requirements for working with foreign correspondent accounts.
FINRA 2009-07-13: Non-Traditional Exchange-Traded Funds
Mon, 13 Jul 2009 11:30:00 EDT
FINRA staff discuss sales practice obligations relating to non-traditional exchange-traded funds, known as ETFs.
FINRA 2009-07-06: 2009 FINRA Examination Priorities: Part 5
Mon, 06 Jul 2009 10:00:00 EDT
The final installment of this five-part series focuses on priorities related to financial and operational compliance, and how they relate to clearing, carrying and all other firms.
FINRA 2009-07-01: FINRA June 2009 Monthly Recap
Wed, 01 Jul 2009 16:30:00 EDT
Revisit the latest Notices, compliance resources and news from June 2009.
FINRA 2009-06-22: 2009 FINRA Examination Priorities: Part 4
Mon, 22 Jun 2009 10:00:00 EDT
This podcast, the fourth in a five-part series on examination priorities, focuses on market regulation topics.
FINRA 2009-06-15: Unregistered Resales of Restricted Securities
Mon, 15 Jun 2009 10:00:00 EDT
FINRA staff discuss firms' responsibilities when participating in unregistered resales of restricted securities.
FINRA 2009-06-08: 2009 FINRA Examination Priorities: Part 3
Mon, 08 Jun 2009 10:00:00 EDT
Part three of this five-part series on examination priorities focuses on product-related sales practice priorities.
FINRA 2009-06-02: FINRA May 2009 Monthly Recap
Tue, 02 Jun 2009 13:00:00 EDT
Revisit the latest Notices, compliance resources and news from May 2009.
FINRA 2009-05-26: FINRA Rulebook Consolidation
Tue, 26 May 2009 10:00:00 EDT
This podcast includes a discussion of three new FINRA rules that become effective on June 15, 2009.
FINRA 2009-05-18: MSRB Supervision Rules
Mon, 18 May 2009 11:00:00 EDT
This podcast, the audio version of a FINRA webcast, provides an overview of municipal securities supervision requirements.
FINRA 2009-05-11: 2009 FINRA Examination Priorities: Part 2
Mon, 11 May 2009 10:00:00 EDT
This podcast, the second in a five-part series on examination priorities, focuses on supervision, anti-money laundering and data protection.
FINRA 2009-05-04: FINRA April 2009 Monthly Recap
Mon, 04 May 2009 13:00:00 EDT
Revisit the latest Notices, compliance resources and news from April 2009.
FINRA 2009-04-27: 2009 FINRA Examination Priorities: Part 1
Mon, 27 Apr 2009 11:00:00 EDT
This podcast, the first in a five-part series on examination priorities, includes both general concerns due to current market conditions and specific areas of focus for FINRA.
FINRA 2009-04-21: Leadership Series: Compliance and Regulatory Challenges
Tue, 21 Apr 2009 15:00:00 EDT
FINRA Chairman and CEO Rick Ketchum shares his observations on the current state of the industry, and discusses challenges facing firms and regulators.
FINRA 2009-04-13: FACT Act Red Flags Rule
Mon, 13 Apr 2009 11:00:00 EST
FINRA staff discuss the FTC's Red Flags Rule, a regulation under the FACT Act of 2003 that requires certain firms to set up and implement a written identity theft prevention program.
FINRA 2009-04-06: Trading Ahead of Research Reports
Mon, 06 Apr 2009 11:00:00 EST
An overview of FINRA's Trading Ahead of Research Reports rule, FINRA Rule 5280, effective April 20, 2009.
FINRA 2009-04-02: FINRA March 2009 Monthly Recap
Thu, 02 Apr 2009 10:00:00 EST
Revisit the latest Notices, compliance resources and news from March 2009.
FINRA 2009-03-23: FINRA Educational Programs
Mon, 23 Mar 2009 10:00:00 EDT
This podcast presents an overview of FINRA's compliance education and training programs for firms and their employees.
FINRA 2009-03-16: Cash Alternatives
Mon, 16 Mar 2009 10:00:00 EDT
FINRA staff discuss sales practice obligations relating to investments sold as an alternative to cash.
FINRA 2009-03-09: Electronic Communications: Social Networking Web Sites
Mon, 09 Mar 2009 10:00:00 EDT
This podcast, the last in a three-part series on supervising electronic communications, discusses how registered representatives' use of social networking Web sites to communicate firm business relates to FINRA's rules regarding communications with the public.
FINRA 2009-03-03: FINRA February 2009 Monthly Recap
Tue, 03 Mar 2009 12:00:00 EST
Revisit the latest Notices, compliance resources and news from February 2009.
FINRA 2009-02-23: Electronic Communications: Blogs, Bulletin Boards and Chat Rooms
Mon, 23 Feb 2009 10:00:00 EST
This podcast, the second of three on supervising electronic communications, discusses the application of FINRA's communication with the public rules for blogs, bulletin boards and chat rooms.
FINRA 2009-02-17: High Yield Environment Instruments
Tue, 17 Feb 2009 10:00:00 EST
FINRA staff discuss firms' obligations related to the sale of bond funds, corporate bonds, structured products and non-conventional instruments in a high-yield environment.
FINRA 2009-02-09: Electronic Communications: Web sites
Mon, 09 Feb 2009 10:00:00 EST
This podcast, the first of three on electronic communications, offers suggestions for supervising employee use of Web sites and explains how FINRA's rules relate to this activity.
FINRA 2009-02-03: FINRA January 2009 Monthly Recap
Tue, 03 Feb 2009 11:00:00 EST
Revisit the latest Notices, compliance resources and news from January 2009.
FINRA 2009-01-26: New Account Application Template
Mon, 26 Jan 2009 10:00:00 EST
This podcast focuses on FINRA's New Account Application Template, a voluntary resource to help firms design and update brokerage applications.
FINRA 2009-01-21: Letters of Authorization
Wed, 21 Jan 2009 10:00:00 EST
FINRA staff define letters of authorization, and discuss how they are used and how firms can supervise them.
FINRA 2009-01-12: Special Purpose Acquisition Companies
Mon, 12 Jan 2009 10:00:00 EST
This podcast describes SPACs, explains how they work and highlights details to review before recommending them to customers.
FINRA 2009-01-06: FINRA December 2008 Monthly Recap
Tue, 06 Jan 2009 12:00:00 EST
Revisit the latest Notices, compliance resources and news from December 2008.
