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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March 8, 2010 Reverse Convertibles
Guidance on sales practice obligations related to reverse convertibles.
March 1, 2010 February 2010 Monthly Recap
Revisit the latest FINRA Notices, compliance resources and news from February 2010.
February 22, 2010 Variable Life Settlements and Transactions in Related Investment Products – Your Firm's Obligations – Part I
FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks.
February 16, 2010 What to Expect: The U4 and U5 Filing Process
This podcast focuses on the process for submitting Form U4 and Form U5 filings.
February 8, 2010 Social Networking
Guidance on firms' use of blogs and social networking sites for business communications.
February 1, 2010 January 2010 Monthly Recap
Revisit the latest FINRA Notices, compliance resources and news from January 2010.
January 25, 2010 FINRA Rulebook Consolidation
FINRA staff introduce new FINRA rules for the consolidated rulebook that go into effect during the month of February.
January 19, 2010 Quarterly Disciplinary Review – January 2010 Issue
FINRA staff discuss examples of registered representatives’ misconduct, as featured in the January issue of FINRA's Quarterly Disciplinary Review.
January 11, 2010 What to Expect: Filing a Change in Membership Application
This podcast, the audio version of a FINRA webcast, focuses on the process for filing Continuing Membership Applications.
January 5, 2010 December 2009 Monthly Recap
Revisit the latest FINRA Notices, compliance resources and news from December 2009.
December 28, 2009 TRACE Expansion
FINRA staff discuss amendments to rules that govern TRACE, the Trade Reporting and Compliance Engine.
December 21, 2009 Pandemic Preparedness – Part II
The second podcast in a two-part series on pandemic preparedness offers suggestions for addressing the top three challenges firms expect during pandemics.
December 14, 2009 FINRA Rulebook Consolidation
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.
December 7, 2009 Rethinking Regulation and Industry Business Practices
FINRA's Chairman and CEO discusses how regulators and market participants should respond to the current financial landscape.
December 1, 2009 November 2009 Monthly Recap
Revisit the latest FINRA Notices, compliance resources and news from November 2009.
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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).
