FINRA Unscripted

FINRA's Intraday Margin Standard: What Investors and Members Need to Know

If you've ever tried to day trade stocks, you've probably run into the requirement to keep at least $25,000 in your brokerage account just to trade actively. For more tha

Inside FINRA's Financial Intelligence Fusion Center

The threats facing the securities industry are evolving fast—and no single firm or regulator has the full picture alone. That's the idea behind FINRA's Financial Intellig

How FINRA Turns Member Feedback Into Action

As a self-regulatory organization, FINRA doesn't operate in a vacuum. Our effectiveness depends on understanding what is happening in the industry, hearing directly from

Inside FINRA Forward: A Conversation with FINRA Board Chair Scott Curtis

On this episode, tune in to a conversation from FINRA’s 2026 Annual Conference, where FINRA Board Chair Scott Curtis and FINRA President and CEO Robert Cook discussed the

How FINRA Is Enhancing Member Firm Examinations

Examinations are a cornerstone of FINRA's regulatory oversight, but how we conduct them is evolving. As part of FINRA Forward, we're making our approach more risk-informe

Trading Around the Clock: Inside FINRA's Trade Reporting Enhancements

Every time you check a stock price on your phone or watch a ticker scroll across a screen, you are seeing the result of a complex reporting system most investors never th

How FINRA Is Streamlining Data Requests

Data is at the heart of everything we do at FINRA—from examining firms to detecting suspicious trading to protecting investors. But the process of requesting, gathering,

Financial Security in 2026: Tips for Investors and How Firms Can Help

Financial security is about more than just building wealth: It's about resilience, preparation, and having the tools to weather whatever comes your way. And right now, wi

Investors in the United States: Key Trends and Insights from the National Financial Capability Study

The FINRA Investor Education Foundation’s National Financial Capability Study is an expansive source of data and insights about the financial lives of U.S. adults. Conduc

Navigating the 2026 Regulatory Oversight Report: Key Insights from FINRA Leadership

The Annual Regulatory Oversight Report is one of FINRA’s most valued resources for member firms—and this year, we're publishing it earlier than ever in response to member

Making Your Voice Heard Through FINRA Member Engagement

As a self-regulatory organization, engagement with member firms is vital to FINRA’s success. On this episode, we highlight engagement opportunities, provide insight into

Building Cybersecurity Resilience Through FINRA Forward

Today's cybersecurity threats aren't isolated incidents—they are sophisticated operations orchestrated by organized criminals and even nation states. This new reality dem

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. H

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 yo

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

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 F

A Conversation With FINRA Chair Scott Curtis

Resources mentioned in this episode: Blog Post: Fee Rebate for FINRA Member Firms Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors The

Robert Cook on FINRA Forward, and More

FINRA Forward—New Initiatives to Support Members, Markets, and the Investors They Serve FINRA360 Request for Comment on Capital Formation Rules, Guidance and Processes

Vendor Vigilance: Navigating Third-Party Risk

Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interested in it? What can F

Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary

This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect