FINRA Unscripted

• A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo

  Small firms face unique challenges. The regulatory landscape is evolving rapidly. And the conversation between regulators and the regulated is more important than ever. How does FINRA ensure that small firm voices are heard? How do small firms navigate an increasingly complex environment while serving their clients effectively? On this episode, we bring you a conversation between FINRA President and CEO Robert Cook and Small Firm Advisory Committee (SFAC) Chair Preston Haxo from FINRA's Small Firm Conference in Dallas on Oct. 9. The two explored the vital role of the SFAC, the ongoing progress of our FINRA Forward initiatives, the practical ways small firms can engage with FINRA, and more.Resources mentioned in this episode:FINRA ForwardSmall Firm Advisory Committee (SFAC)FINRA Small Firm HelplineThe Small Firm BriefingFINRA Crypto and Blockchain Education ProgramReg Notice 25-13: Form U4 Recordkeeping RequirementsReg Notice 25-07: The Modern WorkplaceReg Notice 25-06: Capital FormationReg Notice 25-04: Rule ModernizationBlog Post: FINRA Forward’s Rule Modernization—An UpdateBlog Post: Vendors, Intelligence Sharing and FINRA’s MissionBlog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They ServeEp. 177: Previewing FINRA’s Crypto and Blockchain Education Program Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.

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• Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals

  This episode originally aired in January 2025.Many of us view January as a time to make a fresh start, and as a time to bid farewell to bad habits. In thinking about your New Year's resolutions, have you considered whether you're making financially healthy decisions?On this episode, we sit down with Gerri Walsh, President of the FINRA Investor Education Foundation and Senior Vice President of Investor Education, to uncover the trends and tips investors need to get their finances in order for 2025. Resources mentioned in this episode:BrokerCheckMarket Data CenterFund AnalyzerFixed Income DataFINRA Investor Education FoundationProtecting Consumers from Fraud Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.

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• Previewing FINRA’s Crypto and Blockchain Education Program

  As member firm activity increases in blockchain and crypto assets, FINRA is launching a Crypto and Blockchain Education Program designed to empower member firm compliance and combat crypto fraud by broadening the knowledge base of member firms and associated persons. On this episode, FINRA’s Crypto Hub Chief Jason Foye, Director of Critical Skills and Capabilities Training Rowan Job-White and Director of Continuing Education Services Genay Glasgo delve into the program’s self-paced e-learning courses and an upcoming in-person training.Resources mentioned in this episode:FINRA Crypto and Blockchain Education ProgramFinancial Learning ExperienceEmail: [email protected]: [email protected] Topics: Crypto AssetsSEC Crypto Task ForcePodcast: An Introduction to FINRA’s Crypto Asset Work and the Crypto HubCertified Regulatory and Compliance Professional ProgramBlog Post: FINRA Forward Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.

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• National Financial Capability Study: Key Trends and Insights

  In 2009, the FINRA Investor Education Foundation launched the first national study of financial capability of adults in the United States. Since its start, the National Financial Capability Study has provided data on multiple indicators of capability, including financial behaviors, attitudes, and knowledge.National Financial Capability Study survey data is collected every three years. The 2024 survey, which was published in July, represents the sixth wave of data. This report serves as an important barometer of Americans financial health, and it continues to be an essential resource for policymakers, researchers, financial firms, educators, and other stakeholders seeking to better understand and address the financial capability needs of Americans.On this episode of FINRA Unscripted, FINRA Foundation President Gerri Walsh, the Foundation's research director, Gary Mottola, and senior researcher Olivia Valdes discuss the study's findings and implications.Resources mentioned in this episode:National Financial Capability Study (Sixth Wave)National Financial Capability Study: 2024 State-Level InsightsFinancial Knowledge QuizNational Financial Capability Study (Fifth Wave)The machines are coming (with personal finance information). Do we trust them? Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.

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• A Conversation With FINRA Chair Scott Curtis

  Resources mentioned in this episode:Blog Post: Fee Rebate for FINRA Member FirmsBlog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They ServeRequest for Comment: Outside Activities Rule—2025-05Rule Proposal: Gifts Rule—2025-003 Subscribe to our show on Apple Podcasts, Google Play and by RSS. Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.

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