00:17
December 2022 FINRA Board Update
21:32
Gift Guide for CCOs: Top Five FINRA Compliance Tools and Resources
24:40
Encore | Fraud Stoppers: FINRA’s Market Investigations Group
16:38
Enhancing Your Compliance Practice with the FINRA Institute at Georgetown CRCP Program
24:08
Membership Application Program: Reviewing and Approving Digital Asset Firms
25:42
2022 Ketchum Prize: Advancing Financial Inclusion and Alleviating Racial and Gender Bias in Agric...
03:40
2022 FINRA Foundation Ketchum Prize Recipient: Dr. Cesar Escalante
18:35
CE Transformation Update: Annual Regulatory Element and the Latest on the MQP
00:39
September 2022 FINRA Board Update
16:38
FINRA Enforcement: Bringing Cases Against Individual Brokers
33:57
Regulatory Operations: Stronger Regulation Through Integrated Oversight
26:56
Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit
33:59
Financial Capability Study: Financial Wellbeing During a Global Pandemic
04:36
Americans Share Their Experiences with Money
29:17
Encore | The Cornerstone of FINRA’s Market Surveillance Program: A Historical Commitment to Marke...
39:00
Regulation Best Interest and Form CRS: Two Years In
35:27
Building a Better Future: FINRA’s Diversity, Equity & Inclusion Program
26:07
AML Update: The Latest Trends and Effective Practices
03:38
May 2022 FINRA Board Update
01:22
FINRA Annual Conference - Video Clip: SEC Chair Gary Gensler
00:52
2022 FINRA Annual Conference - Listen. Learn. Connect.
26:14
FINRA Annual Conference: Fireside Chat with Eileen Murray
24:14
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
19:52
MAP Transformation: Streamlining FINRA's Gatekeeper Function
32:45
Encore | FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their...
24:09
Fraud Stoppers: FINRA’s Market Investigations Team
03:27
March 2022 FINRA Board Update
21:13
Report on FINRA’s Examination and Risk Monitoring Program | A Comprehensive Reference Item for Firms
18:54
Celebrating 100: FINRA Unscripted's Greatest Hits
24:27
From NCFC to Member Supervision Head: Reintroducing Greg Ruppert
30:15
Deep Learning: The Future of the Market Manipulation Surveillance Program
26:06
What to Expect: CE Transformation & Maintaining Qualifications Program
00:54
Get Started in the Financial Services Industry by Taking the SIE
32:31
Encore | At, By or Through: Fraud in the Broker-Dealer Industry
03:12
December 2021 Board Update
28:56
The Cornerstone of FINRA’s Market Surveillance Program: A Historical Commitment to Market Transpa...
24:00
2021 Small Firm Conference: A Fireside Chat with Robert Cook and Greg Ruppert
32:28
FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families
29:14
Encore | Overlapping Risks: Anti-Money Laundering and Cybersecurity
02:16
FINRA Investor Education Foundation - 2021 Ketchum Prize Recipient: Shawn Spruce
26:06
2021 Ketchum Prize: Expanding Financial Capability in Native Communities
01:03
September 2021 Board Update
01:01
What is a trusted contact?
20:24
Make Your Voice Heard: FINRA's Regional Committees
28:31
The Journey to the Cloud: Implications for the Securities Industry
04:40
Moving FINRA Forward: One Year and Beyond - FINRA's Racial Justice Task Force
24:52
Introducing Stephanie Dumont
22:12
FINRA’s Financial Intelligence Unit: Connecting the Dots
25:21
Building Board Diversity: FINRA’s Ongoing Commitment
25:07
2021 Annual Conference: Robert Cook and Eileen Murray Fireside Chat
01:08
May 2021 Board Update
36:56
Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead
27:51
Advanced Analytics: Transforming Advertising Regulation
32:03
At, By or Through: Fraud in the Broker-Dealer Industry
01:00
2021 FINRA Annual Conference: Join Us
25:59
Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead
26:30
Year in Review: The 2020 Exam and Risk Monitoring Program
00:46
March 2021 Board Update
32:17
Cybersecurity: Current and Emerging Industry Priorities and Threats
01:17
CRCP Meet the Professors: John Jacobs
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About
FINRA is the Financial Industry Regulatory Authority. We're an independent regulatory organization empowered by the federal government to ensure that America's 90 million investors are protected.
It's our job to ensure that brokers and securities firms play by the rules. We do this by conducting routine examinations of registered brokers and securities firms—and investigating brokers and securities firms against whom complaints have been made. If we find that brokers have violated the rules, we can fine, suspend or even bar them from the industry. Last year, we returned more than $1 billion to harmed investors.
Another key part of our mission is to educate investors. An informed investor is a safer and more confident investor—and we're committed to keeping investors up to date on potential investment scams and actions taken against dishonest brokers. Our Web site offers unbiased educational resources and tools to help investors evaluate investment products and professionals.
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