23:41
Financial Intelligence Unit: Connecting the Industry with Actionable Information
22:20
Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations
28:00
Amendments to FINRA Rule 4210: Covered Agency Transactions
00:18
March 2024 FINRA Board of Governors
34:27
FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk ...
23:40
Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity
34:09
Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team
02:20
FINRA's Dispute Resolution Services (DRS) Team
27:06
Preparing for Change: What to Know About the Shift to T+1
34:59
A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team
24:58
MRTS 2.0: A Redesign for a Rapidly Evolving Market
37:25
An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry
28:15
Investors of Color: New Insights from FINRA’s Investor Education Foundation
26:49
From NCFC to Enforcement Head: Reintroducing Bill St. Louis
02:00
Join us as we celebrate #BlackHistoryMonth at FINRA!
12:32
Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
02:20
FINRA's Enforcement Honors Program
36:51
2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report
02:01
What is FINRA?
01:27
FINRA Internships: What Do You Love About Working at FINRA?
01:35
FINRA Internships: What Have You Learned That You Didn't Know Before?
01:47
FINRA Internships: How Has Your Internship Prepared You for Your Career?
01:05
FINRA Internships: What is Your Typical Day Like?
04:04
College of Examinations 2023: FINRA's Elite Summer Training Program for Recent Graduates
27:25
Encore | Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning
13:23
2023 Small Firm Conference: A Fireside Chat with Robert Cook
23:01
Scary Money: The Latest Research from FINRA Investor Education Foundation
29:50
2023 Ketchum Prize: The Ultimate Fraud Fighter
03:18
FINRA Foundation Awards 2023 Ketchum Prize to Long-Time Financial Fraud Fighter Doug Shadel
16:03
Optimizing Efficiencies: An Update to FINRA’s MAP Transformation
03:03
Mi Sueño, Mi Historia: Hispanic Heritage Month at FINRA
00:15
September 2023 Board Update
28:32
FINRA’s Blockchain Lab: Regulation and Innovation For The Future
02:51
FINRA's Technology Team
30:06
A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team
31:39
An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
01:42
FINRA Securities Helpline for Seniors
18:50
Facilitation, Formation and Feedback: FINRA’s Reg Notice on the Capital Raising Process
00:17
July 2023 Board Update
33:13
Gen Z Investors: A Look at the Attitudes and Behaviors of the Youngest Investors
33:25
Preventing Financial Exploitation: Steps for Safeguarding Senior Investors
32:25
The FINRA Examination Team: The Ins and Outs of FINRA’s Annual Program
25:07
In Review: Looking Forward with FINRA and Board Chair Eric Noll
21:02
Enforcement and Economics: Driving Better Case Outcomes Through Collaboration
23:27
A New Twist on New Account Fraud: Detecting and Preventing ACATS Fraud
01:31
What is a Trusted Contact?
01:04
Qué es la línea de ayuda
00:51
What is the Senior Helpline?
26:45
2023 Senior Investor Protection Conference: The Latest Trends, Scams and Schemes
01:00
FINRA 2023 Annual Conference
33:17
FINRA's Risk Monitoring Program: Understanding the Unique Risks of Every Firm
24:18
Encore | Membership Application Program: Reviewing and Approving Digital Asset Firms
02:53
March 2023 FINRA Board Update
35:37
Then and Now: Following Up with the New and Experienced Investors of 2020
01:54
How to Spot a "Regulator" Imposter Scam
30:09
Introducing REMA: Thinking Differently About Rulemaking, Decision-Making, Innovation and More
26:42
A New Tool for Compliance: FINRA’s Machine-Readable Rulebook Initiative
04:44
College of Examinations: FINRA's Elite Summer Training Program for Recent Graduates
27:08
Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning
37:05
2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program
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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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