Subscribe to FINRA Compliance Podcasts
FINRA podcasts are short online audio recordings that highlight news, regulatory updates and other compliance topics. FINRA has created podcasts as a convenient way to get compliance-related information into the hands of compliance professionals. Podcasts cover compliance topics, updates and speeches.
Recent episodes appear below; see Podcasts in the Online Learning section for a full list.
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November 16, 2009 Changes to Two of the Securities Industry's Regulatory Element Continuing Education Programs (S101/S106)
This podcast covers upcoming changes to two Continuing Education Regulatory Element Programs: the S101 and the S106.
November 9, 2009 Deferred Variable Annuities
A discussion of FINRA's rule governing recommended purchases and exchanges of deferred variable annuities.
November 2, 2009 October 2009 Monthly Recap
Revisit the latest FINRA Notices, compliance resources and news from October 2009.
October 26, 2009 Investment Banking Representative
This podcast introduces a new registration category that describes people who supervise or perform investment banking activities.
October 19, 2009 Quarterly Disciplinary Review – October 2009 Issue
FINRA staff discuss examples of registered representatives’ misconduct, as featured in the October issue of FINRA's Quarterly Disciplinary Review.
October 12, 2009 FINRA Rulebook Consolidation
FINRA staff discuss new rules that the SEC recently approved for inclusion in the consolidated FINRA Rulebook.
October 5, 2009 September 2009 Monthly Recap
Revisit the latest FINRA Notices, compliance resources and news from September 2009.
September 28, 2009 Continuing Membership Applications – Part III
The final podcast in the three-part series on continuing membership applications describes what occurs after a firm submits one to FINRA.
September 21, 2009 Uniform Forms Electronic Filing Requirements
FINRA staff discuss a consolidated rule on electronic filing requirements for uniform forms and related supervision requirements.
September 14, 2009 Continuing Membership Applications – Part II
The second of three podcasts on continuing membership applications explains how to submit one to FINRA.
September 8, 2009 Anti-Money Laundering: Due Diligence for Private Banking Accounts
This podcast, the audio version of a FINRA webcast, describes anti-money laundering due diligence requirements for working with private banking clients.
September 1, 2009 August 2009 Monthly Recap
Revisit the latest FINRA Notices, compliance resources and news from August 2009.
August 24, 2009 Continuing Membership Applications – Part 1
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.
August 17, 2009 Quarterly Disciplinary Review – July 2009 Issue
FINRA staff discuss examples of registered representatives’ misconduct, as featured in the July issue of FINRA's Quarterly Disciplinary Review.
August 10, 2009 FINRA Rulebook Consolidation
This podcast includes a discussion of eight new FINRA rules that become effective on August 17, 2009.
August 3, 2009 July 2009 Monthly Recap
Revisit the latest FINRA Notices, compliance resources and news from July 2009.
July 29, 2009 Regulatory Reform
FINRA Chairman and CEO Rick Ketchum discusses regulatory reform and why independent regulation is more relevant than ever.
July 27, 2009 FTC's Red Flags Rule Template
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.
July 20, 2009 Anti-Money Laundering – Institutional: Due Diligence for Foreign Correspondent Accounts
This podcast, the audio version of a FINRA webcast, describes anti-money laundering due diligence requirements for working with foreign correspondent accounts.
July 13, 2009 Non-Traditional Exchange-Traded Funds
FINRA staff discuss sales practice obligations relating to non-traditional exchange-traded funds, known as ETFs.
July 6, 2009 2009 FINRA Examination Priorities: Part 5
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.
July 1, 2009 June 2009 Monthly Recap
Revisit the latest FINRA Notices, compliance resources and news from June 2009.
June 22, 2009 2009 FINRA Examination Priorities: Part 4
This podcast, the fourth in a five-part series on examination priorities, focuses on market regulation topics.
June 15, 2009 Unregistered Resales of Restricted Securities
FINRA staff discuss firms' responsibilities when participating in unregistered resales of restricted securities.
June 8, 2009 2009 FINRA Examination Priorities: Part 3
Part three of this five-part series on examination priorities focuses on product-related sales practice priorities.
June 2, 2009 May 2009 Monthly Recap
Revisit the latest FINRA Notices, compliance resources and news from May 2009.
May 26, 2009 FINRA Rulebook Consolidation
This podcast includes a discussion of three new FINRA rules that become effective on June 15, 2009.
May 18, 2009 MSRB Supervision Rules
This podcast, the audio version of a FINRA webcast, provides an overview of municipal securities supervision requirements.
May 11, 2009 2009 FINRA Examination Priorities: Part 2
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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Please note: FINRA's Podcasts are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the Podcasts does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. This Podcast is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce these podcasts in any form without the express written consent of FINRA. Music provided by the Podsafe Music Network (http://music.podshow.com).
