These podcasts have been developed and produced by the Financial Industry Regulatory Authority (FINRA). You can find a full listing of podcasts available from FINRA at www.finra.org/podcasts.

 

February 8, 2010

Social Networking  
Listen Now/Download | 10 min. 52 sec. 

Guidance on firms' use of blogs and social networking sites for business communications.

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January 25, 2010

FINRA Rulebook Consolidation  
Listen Now/Download | 8 min. 24 sec. 

FINRA staff introduce new FINRA rules for the consolidated rulebook that go into effect during the month of February.

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January 11, 2010

What to Expect: Filing a Change in Membership Application  
Listen Now/Download | 23 min. 

This podcast, the audio version of a FINRA webcast, focuses on the process for filing Continuing Membership Applications.

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December 28, 2009

TRACE Expansion  
Listen Now/Download | 5 min. 01 sec. 

FINRA staff discuss amendments to rules that govern TRACE, the Trade Reporting and Compliance Engine.

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December 21, 2009

Pandemic Preparedness – Part II  
Listen Now/Download | 9 min. 15 sec. 

The second podcast in a two-part series on pandemic preparedness offers suggestions for addressing the top three challenges firms expect during pandemics.

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December 14, 2009

FINRA Rulebook Consolidation  
Listen Now/Download | 10 min. 33 sec. 

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.

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December 7, 2009

Rethinking Regulation and Industry Business Practices  
Listen Now/Download | 12 min. 17 sec. 

FINRA's Chairman and CEO discusses how regulators and market participants should respond to the current financial landscape.

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November 23, 2009

Pandemic Preparedness - Part I  
Listen Now/Download | 7 min. 20 sec.

The first podcast in a two-part series on pandemic preparedness focuses on business continuity planning and results from a recent FINRA survey.

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November 16, 2009

Changes to Two of the Securities Industry's Regulatory Element Continuing Education Programs (S101/S106)
Listen Now/Download | 5 min. 23 sec.

This podcast covers upcoming changes to two Continuing Education Regulatory Element Programs: the S101 and the S106.

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November 9, 2009

Deferred Variable Annuities
Listen Now/Download | 7 min. 9 sec.

A discussion of FINRA's rule governing recommended purchases and exchanges of deferred variable annuities.

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October 26, 2009

Investment Banking Representative
Listen Now/Download | 7 min. 31 sec.

This podcast introduces a new registration category that describes people who supervise or perform investment banking activities.

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October 19, 2009

Quarterly Disciplinary Review - October 2009 Issue  
Listen Now/Download | 7 min. 35 sec. 

FINRA staff discuss examples of registered representatives' misconduct, as featured in the October issue of FINRA's Quarterly Disciplinary Review.

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October 12, 2009

FINRA Rulebook Consolidation  
Listen Now/Download | 6 min. 44 sec. 

FINRA staff discuss new rules that the SEC recently approved for inclusion in the consolidated FINRA Rulebook.

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September 28, 2009

Continuing Membership Applications – Part III  
Listen Now/Download | 6 min. 52 sec. 

The final podcast in the three-part series on continuing membership applications describes what occurs after a firm submits one to FINRA.

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September 21, 2009

Uniform Forms Electronic Filing Requirements  
Listen Now/Download | 7 min. 10 sec. 

FINRA staff discuss a consolidated rule on electronic filing requirements for uniform forms and related supervision requirements.

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September 14, 2009

Continuing Membership Applications – Part II  
Listen Now/Download | 5 min. 7 sec. 

The second of three podcasts on continuing membership applications explains how to submit one to FINRA.

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August 24, 2009

Continuing Membership Applications – Part 1  
Listen Now/Download | 9 min.

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.

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August 17, 2009

Quarterly Disciplinary Review – July 2009 Issue  
Listen Now/Download | 6 min. 58 sec. 

FINRA staff discuss examples of registered representatives’ misconduct, as featured in the July issue of FINRA's Quarterly Disciplinary Review.

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August 10, 2009

FINRA Rulebook Consolidation  
Listen Now/Download | 6 min. 29 sec.

This podcast includes a discussion of eight new FINRA rules that become effective on August 17, 2009.

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July 29, 2009

Regulatory Reform  
Listen Now/Download | 11 min. 2 sec.

FINRA Chairman and CEO Rick Ketchum discusses regulatory reform and why independent regulation is more relevant than ever.

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July 13, 2009

Non-Traditional Exchange-Traded Funds  
Listen Now/Download | 9 min. 10 sec.

FINRA staff discuss sales practice obligations relating to non-traditional exchange-traded funds, known as ETFs.

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July 6, 2009

2009 FINRA Examination Priorities: Part 5  
Listen Now/Download | 9 min. 7 sec.

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.

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June 22, 2009

2009 FINRA Examination Priorities: Part 4  
Listen Now/Download | 7 min. 42 sec.

This podcast, the fourth in a five-part series on examination priorities, focuses on market regulation topics.

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June 15, 2009

Unregistered Resales of Restricted Securities  
Listen Now/Download | 13 min. 21 sec.

FINRA staff discuss firms' responsibilities when participating in unregistered resales of restricted securities.

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June 8, 2009

2009 FINRA Examination Priorities: Part 3  
Listen Now/Download | 4 min. 40 sec.

Part three of this five-part series on examination priorities focuses on product-related sales practice priorities.

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May 26, 2009

FINRA Rulebook Consolidation  
Listen Now/Download | 5 min. 56 sec.

This podcast includes a discussion of three new FINRA rules that become effective on June 15, 2009.

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May 11, 2009

2009 FINRA Examination Priorities: Part 2  
Listen Now/Download | 10 min. 34 sec.

This podcast, the second in a five-part series on examination priorities, focuses on supervision, anti-money laundering and data protection.

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April 27, 2009

2009 FINRA Examination Priorities: Part 1  
Listen Now/Download | 8 min. 40 sec.

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.

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April 21, 2009

Compliance and Regulatory Challenges  
Listen Now/Download | 10 min. 2 sec.

FINRA Chairman and CEO Rick Ketchum shares his observations on the current state of the industry, and discusses challenges facing firms and regulators.

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April 13, 2009

FACT Act Red Flags Rule  
Listen Now/Download | 8 min.

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.

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April 6, 2009

Trading Ahead of Research Reports  
Listen Now/Download | 4 min. 14 sec.

A description of FINRA's Trading Ahead of Research Reports rule (FINRA Rule 5280), effective April 20, 2009.

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March 16, 2009

Cash Alternatives  
Listen Now/Download | 8 min. 4 sec.

FINRA staff discuss sales practice obligations relating to investments sold as an alternative to cash.

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March 10, 2009

Electronic Communications: Social Networking Web Sites  
Listen Now/Download | 6 min. 11 sec.

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.

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February 23, 2009

Electronic Communications: Blogs, Bulletin Boards and Chat Rooms  
Listen Now/Download | 6 min. 2 sec.

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.

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February 17, 2009

High Yield Environment Instruments  
Listen Now/Download | 4 min. 36 sec.

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.

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February 9, 2009

Electronic Communications: Web Sites  
Listen Now/Download | 7 min. 43 sec.

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.

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January 21, 2009

Letters of Authorization  
Listen Now/Download | 8 min. 55 sec.

FINRA staff define letters of authorization, and discuss how they are used and how firms can supervise them.

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January 12, 2009

Special Purpose Acquisition Companies (SPACs)  
Listen Now/Download | 9 min. 35 sec.

This podcast describes SPACs, explains how they work and highlights details to review before recommending them to customers.

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November 10, 2008

Managing Risk in Today's Market
Listen Now/Download | 10 min. 44 sec.

Grace Vogel, FINRA's EVP of Member Regulation, discusses managing risk in today's market.

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July 21, 2008 

Variable Annuities
Listen Now/Download | 9 min. 11 sec.

FINRA Chief of Enforcement Susan Merrill discusses variable annuities.

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April 8, 2008 

Electronic Communications: Reviewing Correspondence
Listen Now/Download | 8 min. 39 sec.

Methods firms should consider when reviewing electronic correspondence and developing related procedures.

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March 17, 2008

Electronic Communications: What and Who
Listen Now/Download | 7 min. 47 sec.

This podcast presents guidance on what electronic communications your firm's policies and procedures will permit employees to use and who will be responsible for supervisory review.

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February 19, 2008

Electronic Communications: Introduction to Supervision
Listen Now/Download | 4 min. 33 sec.

This podcast presents guidance on designing procedures for reviewing electronic communications.

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FINRA podcasts are reproduced by permission of the Financial Industry Regulatory Authority, Inc. (FINRA) under a non-exclusive license.  FINRA accepts no responsibility for the accuracy or otherwise of the reproduction of FINRA Podcasts.  Any advice or commentary given by IRI about FINRA podcasts are the sole responsibility of IRI and do not reflect the views of FINRA.  FINRA reserves the right to amend FINRA podcasts at its sole discretion.  Copyright 2009 Financial Industry Regulatory Authority, Inc.  All Rights Reserved.