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FINRA Unscripted

FINRA
FINRA
Cybersecurity
Crypto Assets
Generative AI
Regulation Best Interest
Large Language Models
Investor Protection
Financial Regulation
Financial Crimes
Risk Management
T Plus One
Financial Exploitation
Liquidity Risk Management
Off-Channel Communications
Technology Implementation
Data Privacy
Ransomware
Vulnerable Adults and Seniors Team (VAST)
Consolidated Audit Trail
Market Regulation

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every inv... more

PublishesMonthlyEpisodes165Founded20 years ago
Number of ListenersCategories
InvestingGovernmentBusiness

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Artwork for FINRA Unscripted

Latest Episodes

Today's cybersecurity threats aren't isolated incidents—they are sophisticated operations orchestrated by organized criminals and even nation states. This new reality demands we respond not as individual organizations, but as a unified industry with ... more

YouTube

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 naviga... more

YouTube

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... more

YouTube

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 as... more

YouTube

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Recent Guests

Bryan Smith
Senior Vice President over the Complex Investigations and Intelligence Group at FINRA, with a background in cyber crimes and money laundering.
FINRA
Episode: Building Cybersecurity Resilience Through FINRA Forward
Brita Bayatmakou
Vice President of Strategic and Threat Intelligence at FINRA, previously worked at a member firm focusing on financial crime.
FINRA
Episode: Building Cybersecurity Resilience Through FINRA Forward
Jason Beachy
Vice President of Cyber and Analytics at FINRA, formerly with the FBI focusing on cyber investigations.
FINRA
Episode: Building Cybersecurity Resilience Through FINRA Forward
Gerri Walsh
President of the FINRA Investor Education Foundation and senior vice president of Investor Education.
FINRA Investor Education Foundation
Episode: Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
Rob Masio
Director at the FINRA Investor Education Foundation
FINRA
Episode: Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape
Jerry Walsh
President of the FINRA Investor Education Foundation and Senior Vice President of Investor Education
FINRA
Episode: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
Omar Maisel
Senior Vice President of the Complex Investigations and Intelligence Group at FINRA
FINRA
Episode: Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Jason Foy
Senior Director and Head of FINRA's Crypto Hub
FINRA
Episode: Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Reema Abdul Hamid
Director with FINRA Enforcement
FINRA
Episode: Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub

Hosts

Ray Pelleckia
Host of FINRA Unscripted
Margarita Biel
Co-host of FINRA Unscripted
Caitlin Kiernan
Host of FINRA Unscripted

Reviews

4.8 out of 5 stars from 55 ratings
  • Thank you for allowing me to speak about my scam experience.

    I am not a financial professional and if you are reading this, you may be wondering why I am giving the FINRA Unscripted five stars? Because I was invited to the FINRA Foundation to speak at your conference this past September 2024. I was able to give the professional members of FINRA how big a problem of financial crimes are and I am a survivor. Please listen to Episode 162 and commit yourself to educating yourself and your professional world about the need to stop the scam from happening to Am... more

    Apple Podcasts
    5
    BGlickster1
    United Statesa year ago
  • FINRA PODCASTS

    Informative, highly engaging, inspiring educational podcasts ! Thank you the host and FINRA Team for an outstanding programs. Can’t wait to listen to the next episode!

    Apple Podcasts
    5
    Mahendra S. Rathore
    United States4 years ago
  • Excellent podcast

    A few episodes made me aware of certain investor protection programs that I didn’t know FINRA had.

    The stories that the guests told were the most entertaining and educational parts for me. It’s always more understandable when a concept is illustrated by a real life case example.

    Apple Podcasts
    5
    jl504
    United States5 years ago
  • Kaitlyn really takes us through the issues of the day

    One of the best financial podcasts in the biz

    Apple Podcasts
    5
    P38747289
    United States6 years ago
  • Kaitlyn is Awesome!

    Very informative.

    Apple Podcasts
    5
    Rob Gu'ner
    United States6 years ago

Listeners Say

Key themes from listener reviews, highlighting what works and what could be improved about the show.

Listeners appreciate engaging discussions that mix practical tips with personal experiences.
The podcast stands out for its focus on investor protection and proactive measures against fraud.
Expert insights on regulatory compliance and financial education are highly valued.

Chart Rankings

How this podcast ranks in the Apple Podcasts, Spotify and YouTube charts.

Apple Podcasts
#111
United States/Government
Apple Podcasts
#48
China/Government
Apple Podcasts
#120
United Arab Emirates/Government
Apple Podcasts
#161
Hong Kong/Government

Talking Points

Recent interactions between the hosts and their guests.

Building Cybersecurity Resilience Through FINRA Forward
Q: Can you walk us through what the Cyber and Operational Resilience Program or CORE is and how it works?
This program is designed to provide actionable intelligence to help protect markets, firms, and investors, by identifying and monitoring third-party risks.
Building Cybersecurity Resilience Through FINRA Forward
Q: Can you tell us what these tabletop exercises are, how they work, and how they differ from other FINRA education?
These exercises are designed to help firms prepare for cyber incidents through structured exercises and injects, focusing on coordination and clarity of roles within firms.
Building Cybersecurity Resilience Through FINRA Forward
Q: Can you help our listeners understand how the cybersecurity and fraud prevention efforts fit into the broader FINRA Forward initiative?
It's a priority for FINRA because it's a priority for the firms. We are a membership organization and need to deliver the services that enable firms to engage in business.
Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
Q: What are some steps that people can take to ensure that these resolutions stick throughout the year?
Make resolutions manageable and focus on personal circumstances rather than comparisons with others.
Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
Q: What does a thorough financial checkup entail for the responsible investor as we look to the year ahead?
The most important thing is to get organized by assessing your financial situation including income sources, debts, and overall financial health.

Audience Metrics

Listeners, social reach, demographics and more for this podcast.

Listeners per Episode
Gender Skew
Location
Interests
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Age Range
Household Income
Social Media Reach

Frequently Asked Questions About FINRA Unscripted

What is FINRA Unscripted about and what kind of topics does it cover?

Content typically focuses on regulatory topics affecting the broker-dealer industry, including emerging trends related to financial markets and investor protection. Episodes often feature discussions on compliance best practices, insights from industry leaders, and educational resources tailored for both professionals and everyday investors. The podcast uniquely emphasizes a proactive approach to addressing challenges in a rapidly evolving financial landscape, making it a valuable resource for listeners interested in the intersection of regulation and investment practices. Notable themes include financial fraud prevention, the role of technology in securities regulation, and discussions surrounding cryptocurrencies, enabling a comprehensive... more

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How many listeners does FINRA Unscripted get?

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Which podcasts are similar to FINRA Unscripted?

These podcasts share a similar audience with FINRA Unscripted:

1. Trillions
2. Odd Lots
3. Barron's Streetwise
4. Wall Street Breakfast
5. Bloomberg Daybreak: US Edition

How many episodes of FINRA Unscripted are there?

FINRA Unscripted launched 20 years ago and published 165 episodes to date. You can find more information about this podcast including rankings, audience demographics and engagement in our podcast database.

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What guests have appeared on FINRA Unscripted?

Recent guests on FINRA Unscripted include:

1. Bryan Smith
2. Brita Bayatmakou
3. Jason Beachy
4. Gerri Walsh
5. Rob Masio
6. Jerry Walsh
7. Omar Maisel
8. Jason Foy

To view more recent guests and their details, simply upgrade your Rephonic account. You'll also get access to a typical guest profile to help you decide if the show is worth pitching.

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