Ranked #1
Insider Trading: Finding the Needle in the Haystack
Insider Trading: Finding the Needle in the Haystack
When it comes to detecting insider trading, it really is like finding a needle in a haystack with more than 15,000 diffe... Read more
4 Dec 2018
•
27mins
Ranked #2
Regulation Best Interest: Preparing for a New Standard of Conduct
Regulation Best Interest: Preparing for a New Standard of Conduct
Next year, brokerage firms will have to comply with a new standard of conduct when working with retail clients with the ... Read more
15 Oct 2019
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23mins
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The New SIE Exam: Opening Doors to the Securities Industry
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Looking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch ... Read more
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What to Expect: The 2020 Exam and Risk Monitoring Program
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1 Oct 2019
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How the Cloud Has Revolutionized FINRA Technology
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When you think of financial regulation, you don’t typically think of innovation, but in fact, FINRA was an early adopter... Read more
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The way Americans think about and plan for retirement is changing. Gone are the days when Americas drop out of the workf... Read more
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Debunked: 7 Myths about Millennials—the Underinvested Generation
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Millennials are on the cusp of surpassing Baby Boomers as the largest adult generation in America. Yet the soon-to-be la... Read more
9 Oct 2018
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Member Supervision: Introducing Bari Havlik and the Exam Program Transformation
Member Supervision: Introducing Bari Havlik and the Exam Program Transformation
When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with bi... Read more
6 Nov 2018
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Advertising Regulation: Expect More Than Just Hype
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18 Feb 2020
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The Buildathon: Creating New Technology in Service of Investors
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Hackathons aren’t new. Silicon Valley has been using them for years and they’ve become commonplace among technologists. ... Read more
12 Nov 2019
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FINRA & CE Council: Enhancing Industry Continuing Education
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The biggest change to the Continuing Education program in 25 years is underway. The CE Council, FINRA and other CE Counc... Read more
3 Mar 2020
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23 Oct 2018
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Millennials and Money: How to Get Started on the Road to Investing
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Contrary to popular belief, many millennials aren’t too keen on robo-advisors and would actually prefer to work with a p... Read more
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How many Americans are investing in non-retirement accounts? How are they making decisions about where to put that hard-... Read more
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Corporate culture is defined as the way people act. But what helps people understand how to act, how to behave and how t... Read more
20 Aug 2019
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The U.S. economy is improving, but not all Americans are benefiting equally. Many Americans are failing to save money, s... Read more
9 Jul 2019
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Encore | Insider Trading: Finding the Needle in the Haystack
Encore | Insider Trading: Finding the Needle in the Haystack
This episode originally aired in December 2018.When it comes to detecting insider trading, it really is like finding a n... Read more
4 Feb 2020
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27mins
