FINRA Unscripted

• 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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• Robert Cook on FINRA Forward, and More

  FINRA Forward—New Initiatives to Support Members, Markets, and the Investors They ServeFINRA360Request for Comment on Capital Formation Rules, Guidance and ProcessesRequest for Comment on Modern Workplace Rules, Guidance and ProcessesRequest for Comment on Associated Persons’ Outside ActivitiesStatement to Correct Misinformation About Outside Activities ProposalBroad Review to Modernize Rules Regarding Member Firms and Associated PersonsProposed Rule Change to Modify the Implementation Schedule Regarding Corporate Financing FeesProposed Rule Change on Transaction ReportingEngage With FINRA Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.

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• 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 FINRA member firms do to mitigate that risk? And how can FINRA help?On this episode of FINRA Unscripted, FINRA’s Executive Vice President of Member Supervision Greg Ruppert shares valuable insights on why firms are facing heightened challenges with third-party vendors, the emerging risks posed by fourth-party relationships, and how FINRA's intelligence sharing is helping member firms protect themselves from vendor-related cybersecurity threats.Resources mentioned in this episode:2025 Annual Regulatory Oversight ReportCEO Blog: New FINRA Initiatives to Support Members, Markets, and the Investors They ServeFINRA Cybersecurity GuidanceEp. 170: Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel TeamEp. 169: Unpacking FINRA’s 2025 Regulatory Oversight Report Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.

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