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.
Jul 7
How FINRA Turns Member Feedback Into Action
As a self-regulatory organization, FINRA doesn't operate in a vacuum. Our effectiveness depends on understanding what is happening in the industry, hearing directly from our members, and translating that feedback into meaningful action. This engagement is a two-way street, and me ... Show More
22m 22s
Jun 2
Inside FINRA Forward: A Conversation with FINRA Board Chair Scott Curtis
On this episode, tune in to a conversation from FINRA’s 2026 Annual Conference, where FINRA Board Chair Scott Curtis and FINRA President and CEO Robert Cook discussed the partnership between board governance and executive leadership, and the strategic priorities shaping FINRA's d ... Show More
27m 14s
Oct 2021
The Federal Reserve and the Future of Digital Currency
Sunayna Tuteja, the Fed's first Chief Innovation Officer, joins the show in her first interview to discuss how the central bank is approaching the development of a digital currency, and how it plans to regulate cryptocurrency. Plus, the first Bitcoin-related ETF started trading i ... Show More
27m 13s
Jun 2024
From Consensus 2024 | How Blockchain Technologies Can Empower Financial Institutions
The latest price moves and insights with Shift Markets CEO Ian McAfee and Roger Bayston, Executive Vice President and Head of Digital Assets at Franklin Templeton.
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Today's episode is sponsored by BitGo.
Roger Bayston, Executive ... Show More
21m 24s
Sep 2021
Decentralised Finance on the rise
Regulators are taking a close look at new crypto-trading environments, known collectively as Decentralised Finance, or DeFi. advocates say the technologies underlying DeFi offer an inclusive and democratic approach to finance, while critics say it is a potential hotbed for money ... Show More
18m 9s
Mar 2023
The Case the Crypto World Is Watching
Securities law expert Robert Heim, a partner at Tarter Krinsky & Drogin, discusses Grayscale Investments’s lawsuit against the Securities and Exchange Commission over its bid to create an ETF.
Former federal prosecutor Robert Mintz, a partner at McCarter & English, discusses Spec ... Show More
25m 49s