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. Please note that you do not need a portable digital media player to listen to podcasts.
December 2, 2008
November 2008 Monthly Recap 
9 min. 07 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from November 2008.
November 24, 2008
AML Law Enforcement Requests
8 min. 55 sec. | Listen Now/Download
This podcast discusses a firm's anti-money laundering obligations when responding to information requests from law enforcement agencies.
November 17, 2008
Life of an Equity Trade
11 min. 57 sec. | Listen Now/Download
This podcast, the audio version of a FINRA webcast, provides an overview of the equity trading process.
November 10, 2008
Managing Risk in Today's Market
10 min. 44 sec. | Listen Now/Download
Grace Vogel, FINRA's EVP of Member Regulation, discusses managing risk in today's market.
November 4, 2008
October 2008 Monthly Recap
17 min. 16 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from October 2008.
October 27, 2008
Rulebook Consolidation Process
6 min. 11 sec. | Listen Now/Download
FINRA staff discuss the process for announcing approval of rules and their effective dates as they are incorporated into the FINRA Rulebook.
October 23, 2008
Mary Schapiro's Speech at the Fall Securities Conference
19 min. 33 sec. | Listen Now/Download
An audio recording of FINRA CEO Mary Schapiro's speech at the 2008 Fall Securities Conference
October 20, 2008
Structured Products
12 min. 26 sec. | Listen Now/Download
This podcast, the audio version of a FINRA webcast, focuses on structured products and the features in these products that may not be easily understood by registered representatives.
October 6, 2008
September 2008 Monthly Recap
12 min. 26 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from September 2008.
September 29, 2008
Conflicts of Interest 6 min. 38 sec. | Listen Now/Download
This podcast, the audio version of a FINRA webcast, focuses on how to identify and handle many conflicts of interest that can occur in the securities industry.
September 22, 2008
FINRA Firm Gateway
4 min. 7 sec. | Listen Now/Download
FINRA staff discuss the Firm Gateway, an online compliance tool that provides consolidated access to FINRA applications and timely firm-focused information.
September 15, 2008
Filing Communications for FINRA Review
18 min. 56 sec. | Listen Now/Download
This podcast explains in plain English what to expect when filing communications with FINRA's Advertising Regulation department.
September 9, 2008
Public Offerings of DPPs and REITs
14 min. 28 sec. | Listen Now/Download
FINRA staff members discuss new amendments to FINRA's rule on direct participation programs and real estate investment trusts.
August 29, 2008
August 2008 Monthly Recap
11 min. 02 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from August 2008.
August 25, 2008
Private Placements
11 min. 36 sec. | Listen Now/Download
This podcast, the audio version of a FINRA webcast, discusses private and public securities offerings that do not require registration under federal securities laws.
August 18, 2008
Improving Exam Results - Part 2
10 min. 06 sec. | Listen Now/Download
This podcast is the second in a two-part series on improving examination results.
August 11, 2008
Improving Exam Results - Part 1
10 min. 23 sec. | Listen Now/Download
This podcast is the first in a two-part series on improving examination results.
August 4, 2008
July 2008 Monthly Recap
12 min. 48 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from July 2008.
July 28, 2008
Debt Mark-ups
9 min. 25 sec. | Listen Now/Download
This podcast, the audio version of a FINRA webcast, focuses on the rule that guides pricing of debt securities and a related interpretation.
July 21, 2008
Variable Annuities
9 min. 11 sec. | Listen Now/Download
FINRA Chief of Enforcement Susan Merrill discusses variable annuities.
July 14, 2008
AML - Customer Identification Program (Part 2)
6 min. 33 sec. | Listen Now/Download
This podcast is the second in a two-part series on the essential elements of the Customer Identification Program, an AML requirement.
July 7, 2008
Anti-Money Laundering for Operations Staff
10 min. 37 sec. | Listen Now/Download
This podcast, the audio version of a FINRA webcast, is an overview of AML responsibilities geared toward operations staff.
July 1, 2008
June 2008 Monthly Recap
8 min. 34 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from June 2008.
June 23, 2008
Anti-Money Laundering—Institutional: Know Your Customer
10 min. 30 sec. | Listen Now/Download
This podcast, the audio version of a FINRA webcast, focuses on Anti-Money Laundering compliance for firms that work with institutional clients.
June 16, 2008
AML - Customer Identification Program (Part 1)
7 min. 46 sec. | Listen Now/Download
This podcast is the first in a two-part series on the essential elements of the Customer Identification Program, an AML requirement.
June 9, 2008
Foreign Research Analyst Exemption
3 min. 46 sec. | Listen Now/Download
FINRA staff discuss a new exemption from the Research Analyst Qualification Exam for foreign research analysts.
June 3, 2008
May 2008 Monthly Recap
9 min. 28 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from May 2008.
May 27, 2008
Third-Party Research Reports
4 min. 35 sec. | Listen Now/Download
This podcast describes a recent rule change related to firms' distribution and supervision of third-party research reports.
May 20, 2008
The FINRA Rulemaking Process
10 min. 55 sec. | Listen Now/Download
This podcast, the audio version of a webcast developed for the "What to Expect" series, focuses on FINRA's rulemaking process.
May 12, 2008
Unauthorized Proprietary Trading
8 min. 38 sec. | Listen Now/Download
FINRA staff discuss practices for protecting against "rogue" trading and describe some red flags to help identify it.
May 5, 2008
April 2008 Monthly Recap
12 min. 14 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from April 2008.
April 28, 2008
Principal Approval of Sales Material
5 min. 9 sec. | Listen Now/Download
A review of a new exception to the principal approval requirements for some sales material that firms file.
April 22, 2008
Preparing for a FINRA Cycle Examination
17 min. 49 sec. | Listen Now/Download
This podcast, the audio version of a webcast developed for the "What to Expect" series, focuses on what firms should expect during the cycle examination process and how they can prepare.
April 14, 2008
Consolidation Update
5 min. 36 sec. | Listen Now/Download
FINRA's CEO Mary Schapiro talks about the ongoing integration of NASD and NYSE Regulation, including an update on the rulebook consolidation.
April 8, 2008
Electronic Communications: Reviewing Correspondence
8 min. 39 sec. | Listen Now/Download
Methods firms should consider when reviewing electronic correspondence and developing related procedures.
April 3, 2008
March 2008 Monthly Recap
12 min. 24 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from March 2008.
March 25, 2008
Rulebook Consolidation Process
5 min. 16 sec. | Listen Now/Download
This podcast explains the process for FINRA's rulebook consolidation and what firms can expect from it.
March 17, 2008
Electronic Communications: What and Who
7 min. 47 sec. | Listen Now/Download
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.
March 10, 2008
Record Retention Relief
5 min. 28 sec. | Listen Now/Download
This podcast explains how firms can now rely on Web CRD to satisfy requirements to retain records of certain forms.
March 3, 2008
February 2008 Monthly Recap
10 min. 10 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from February 2008.
February 26, 2008
Variable Annuities: Requirements for Supervisors
9 min. 18 sec. | Listen Now/Download
A FINRA staff member discusses considerations for supervising recommendations of deferred variable annuity transactions in this podcast, the audio version of a webcast for supervisors.
February 26, 2008
Variable Annuities: Requirements for Representatives
9 min. 51 sec. | Listen Now/Download
Registered Representatives' responsibilities when recommending variable annuities are the focus of this podcast, the audio version of a webcast for frontline staff.
February 19, 2008
Electronic Communications: Introduction to Supervision
4 min. 33 sec. | Listen Now/Download
This podcast presents guidance on designing procedures for reviewing electronic communications.
February 11, 2008
Protecting Senior Investors
6 min. 10 sec. | Listen Now/Download
FINRA CEO Mary Schapiro discusses one of FINRA's top priorities: protecting senior investors from fraud.
February 4, 2008
January 2008 Monthly Recap
10 min. 29 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from January 2008.
January 29, 2008
Supervisory Considerations for Working with Seniors
12 min. 35 sec. | Listen Now/Download
This podcast, the audio version of the latest FINRA webcast, describes what to be aware of when supervising sales to seniors.
January 22, 2008
Fairness Opinion
5 min. 8 sec. | Listen Now/Download
This podcast discusses FINRA's Fairness Opinion rule.
January 14, 2008
The Modern Regulator
7 min. 23 sec. | Listen Now/Download
FINRA CEO Mary Schapiro discusses what it means for FINRA to be a modern regulator.
January 8, 2008
What to Expect: Anti-Money Laundering Reviews During Routine Exams
20 min. 54 sec. | Listen Now/Download
This podcast, the audio version of a webcast developed for the "What to Expect" series, focuses on the Anti-Money Laundering reviews conducted during FINRA's routine examinations.
January 3, 2008
December 2007 Monthly Recap
13 min. 40 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from December 2007.
December 27, 2007
Considerations for Working with Seniors: Diminishing Capacity and Suspected Financial Abuse
6 min. 44 sec. | Listen Now/Download
This podcast discusses the sensitive issues of working with customers who show signs of diminishing mental capacity and responding to suspected financial abuse.
December 18, 2007
Business Gifts
9 min. 27 sec. | Listen Now/Download
This podcast, the audio version of a webcast developed for Frontline Staff, discusses a registered representative's responsibilities when giving business gifts.
December 10, 2007
Considerations for Working with Seniors: Free Lunch Seminars
3 min. 55 sec. | Listen Now/Download
This podcast examines how "free lunch" seminars are sometimes used to mislead senior investors—and how FINRA is responding.
December 4, 2007
November 2007 Monthly Recap
14 min. 10 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from November 2007.
November 26, 2007
Considerations for Working with Seniors: Communications
4 min. 26 sec. | Listen Now/Download
This podcast focuses on communications considerations that firms and representatives should keep in mind when working with senior customers.
November 19, 2007
Considerations for Working with Seniors: Suitability
7 min. 5 sec. | Listen Now/Download
This podcast focuses on suitability considerations that firms and representatives should keep in mind when working with senior customers.
November 15, 2007
Suitability Issues: Considerations for Product Exchanges
9 min. 28 sec. | Listen Now/Download
This podcast, the audio version of a webcast developed for Frontline Staff, emphasizes the importance of establishing suitability when recommending that a client exchange products.
November 2, 2007
October 2007 Monthly Recap
9 min. 51 sec. | Listen Now/Download
Revisit the latest FINRA Notices, compliance resources and news from October 2007.
October 31, 2007
Suitability Issues: An Institutional Focus
11 min. 31 sec. | Listen Now/Download
This podcast, the audio version of a webcast developed for Frontline Staff, explains procedures a registered representative should follow when determining the suitability of a recommendation made to an institutional customer.
October 23, 2007
Improving Examination Results
10 min. 6 sec. | Listen Now/Download
This podcast presents FINRA's top examination priorities and ways firms can avoid common exam-related pitfalls.
October 16, 2007
Small Firm Emergency Partner Program
8 min. 52 sec. | Listen Now/Download
This podcast outlines a new, voluntary partnership program that helps firms provide service to their customers during an emergency.
October 11, 2007
FINRA CEO Mary Schapiro's Speech at the 2007 Fall Securities Conference
22 min. 24 sec. | Listen Now/Download
This podcast is an audio recording of FINRA CEO Mary Schapiro's speech at the 2007 Fall Securities Conference.
October 11, 2007
Considerations for Working with Seniors
12 min. 43 sec. | Listen Now/Download
This podcast, the audio version a webcast developed for Frontline Staff, reviews considerations a registered representative should employ when interacting with a senior customer.
October 11, 2007
FINRA Senior Executive Vice President of Regulatory Policy & Programs Elisse Walter's Speech at the 2007 Fall Securities Conference
13 min. 4 sec. | Listen Now/Download
This podcast is an audio recording of FINRA Senior Executive Vice President of Regulatory Policy & Programs Elisse Walter's speech at the 2007 Fall Securities Conference.
October 9, 2007
Outside Business Activities & Private Security Transactions
12 min. 2 sec. | Listen Now/Download
This podcast, the audio version of a webcast developed for Frontline Staff, explains guidelines that a representative should follow when engaging in any business activity that is not part of his or her work for the firm.
October 5, 2007
September 2007 Monthly Recap
7 min. 41 sec. | Listen Now/Download
October 3, 2007
Small Firm Initiatives
8 min. 44 sec. | Listen Now/Download
FINRA CEO Mary Schapiro discusses the many challenges small firms face—and what FINRA is doing to help.
September 5, 2007
New Podcast: August 2007 Recap
8 min. 35 sec. | Listen Now/Download
Revisit the latest Notices, compliance resources and news from August 2007.
August 17, 2007
OATS for OTC Equity Securities Educational Teleconference
15 min. 35 sec. | Listen Now/Download
This podcast is an audio recording of the OATS for OTC Equity Securities Second Educational Teleconference held on August 15, 2007.
August 2, 2007
New Podcast: July 2007 Recap
7 min. 25 sec. | Listen Now/Download
Revisit the latest Notices to Members, compliance resources and news from July 2007.
July 6, 2007
NASD June 2007 Recap
11 min. 3 sec. | Listen Now/Download
Revisit the latest Notices to Members, compliance resources and news from June 2007.
July 5, 2007
Debt Securities Mark-Up Interpretation
7 min. 55 sec. | Listen Now/Download
This podcast provides an overview of the new interpretation of the rule that guides pricing of debt securities, except municipal securities.
June 27, 2007
Municipal and TRACE Transaction Reporting Teleconference
1 hr. 19 min. 18 sec. | Listen Now/Download
This podcast is an audio recording of the Municipal and TRACE Transaction Reporting Teleconference from June 20, 2007.
May 25, 2007
NASD Vice Chairman Doug Shulman's Speech at the 2007 Spring Securities Conference
29 min. 40 sec. | Listen Now/Download
This podcast is an audio recording of NASD Vice Chairman Doug Shulman's speech at the 2007 Spring Securities Conference.
May 11, 2007
Educational Offerings
8 min. 35 sec. | Listen Now/Download
This podcast provides an overview of NASD's compliance-related education and training programs.
May 10, 2007
Books and Records
15 min. 8 sec. | Listen Now/Download
This podcast, the audio version of the latest webcast developed for Frontline Staff, discusses what registered representatives need to know to meet their books and records obligations for new account forms and order tickets.
April 23, 2007
What to Expect: The U4 and U5 Filing Process
18 min. 28 sec. | Listen Now/Download
This podcast, the audio version of the latest webcast developed for the "What to Expect" series, focuses on the process for submitting Form U4 and Form U5 filings.
April 17, 2007
Supervision of Recommendations after a Registered Representative Changes Firms
5 min. 56 sec. | Listen Now/Download
This podcast discusses issues to consider when supervising newly hired registered representatives with an existing book of business.
April 12, 2007
Anti-Money Laundering: Examples of Red Flags
16 min. 29 sec. | Listen Now/Download
This podcast reviews important issues surrounding identification and reporting of money laundering activity.
March 27, 2007
Life Settlements
12 min. 34 sec. | Listen Now/Download
This podcast discusses issues and concerns surrounding the sale of an existing variable life insurance policy to a third party - also known as life settlements.
March 13, 2007
What to Expect: Filing a Continuing Membership Application
22 min. 52 sec. | Listen Now/Download
This podcast focuses on the process for filing Continuing Membership Applications.
February 1, 2007
Business Continuity Planning: Recent Survey Findings
10 min. 31 sec. | Listen Now/Download
This podcast provides an overview of findings from a recent survey NASD conducted on the effectiveness of Business Continuity Plans used by members during Hurricanes Katrina and Rita.
January 26, 2007
OATS for OTC Equity Securities Educational Telephone Conference
17 min. 25 sec. | Listen Now/Download
This podcast is the recording of an educational telephone conference held by NASD on Wednesday, January 24, 2007. The call discussed the expansion of the OATS Rules to OTC Equity Securities.
January 3, 2007
NASD Chairman and CEO Mary Schapiro on NASD/NYSE Regulatory Consolidation
14 min. 12 sec. | Listen Now/Download
If you were unable to attend one of the Regulatory Consolidation member meetings NASD hosted across the country last month, we are providing this podcast to make sure you get the facts about the plan. A webcast is also available.
December 14, 2006
Structured Products: Definition and Guidance
7 min. 56 sec. | Listen Now/Download
This podcast defines what structured products are and discusses related guidance presented in Notice to Members 05-59.
November 13, 2006
Regulatory Responsibilities in the Sale of TICs
10 min. 18 sec. | Listen Now/Download
This podcast provides an overview of NASD guidance on private placements of tenants-in-common interests in real property offerings.
September 18, 2006
ACATS: Task Force Recommendations
14 min. 35 sec. | Listen Now/Download
This podcast summarizes task force recommendations on transfers of customer accounts from one brokerage firm to another through the Automated Customer Account Transfer System (ACATS).
September 18, 2006
Life Settlements
9 min. 12 sec. | Listen Now/Download
This podcast discusses variable life settlements and presents an overview of the information presented in Notice to Members 06-38.
August 22, 2006
Equity Indexed Annuities
8 min. 10 sec. | Listen Now/Download
This podcast discusses important compliance issues surrounding the definition and sale of Indexed Annuities, as explained in Notice to Members 05-50.
July 17, 2006
Outsourcing Activities to Third-Party Service Providers
5 min. 22 sec. | Listen Now/Download
This podcast provides an overview of a firm's regulatory responsibilities when outsourcing activities to third-party service providers.
June 20, 2006
Understanding Supervisory Controls
7 min. 12 sec. | Listen Now/Download
This podcast addresses some commonly asked questions about NASD Rule 3012, such as who is considered a producing manager, who can conduct supervisory reviews, the “limited size and resources” exception and principal review.
May 18, 2006
Anti-Money Laundering: Independent Testing
6 min. 20 sec. | Listen Now/Download
This podcast provides key highlights of a recent amendment to Rule 3011, which requires firms to establish independent testing of their AML program. Related Resources: AML Issue Center, Notice to Members 06-07
May 18, 2006
The New Branch Office Definition and Registration
7 min. 47 sec. | Listen Now/Download
Last fall NASD and the NYSE amended their definitions of "branch office" to provide a new, uniform industry definition. This podcast addresses common questions about the new definition and related filing requirements. Related Resources: Branch Office FAQ, Notice to Members 06-12
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, nor reference them in any publication, without the express written consent of FINRA. Some music provided by the Podsafe Music Network (http://music.podshow.com).
