Najlepsze podcasty z kategorii: Finra (2024)

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Unlocking Transparency: Navigating FINRA’s Market Data Offerings 23:45

17d ago23:45

23:45

Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, we sit down with two members of the Market Regulation and Transparency Services team, Senior Vice President of Strategic Regulatory Engagement Alex Ellenberg, and Senior Director of Transparency Services Equities Brendan Loonam. They joi…

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Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub 32:07

1M ago32:07

32:07

This episode originally aired in August 2023. In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team On this episode, the first in a three-part series, we sit down with Omer Meisel, Senior …

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Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry 30:16

2M ago30:16

30:16

In the securities world today, there is little daylight between money laundering and fraud. As these two spaces have come to increasingly overlap, FINRA created the Special Investigations Unit, or SIU, to detect and investigate cases illicit finance, market abuse and other fraud. On this episode, we sit down with SIU Senior Director Gargi Sharma, a…

1
How will Federal Reserve rate cuts affect the market for wealth management roles 38:01

2M ago38:01

38:01

We recorded this episode before rate cuts started, but what Ken shared still holds true. In this episode, Ken talked through why he expected the Federal Reserve to cut rates, and how this will affect the securities industry and hiring. Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 9, 63, 65, and 66. Try our courses for f…

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The Forgotten Generation: Shining a Spotlight on Gen X’s Financial Health 34:14

2M ago34:14

34:14

Gen X is often called the Forgotten Generation given how often they’re overlooked in favor of conversation around boomers, millennials or now even Gen Z. But not today. On this episode, Gen X is the one in the spotlight as we sit down Gary Mottola, research director with the FINRA Foundation, Ritta McLaughlin, director of community outreach with FI…

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The Latest Research: Why Do Targets Engage with Scams? 34:50

2M ago34:50

34:50

Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? These are important questions to ask – and find the answers to – both as consumers and as an industry with an interest in disrupting the cycle of financial fraud. On this episode, we hear fro…

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The Victim Experience: When Romance Leads to a Crypto Scam 27:00

3M ago27:00

27:00

The number of highly sophisticated crypto scams is growing, with Americans losing an estimated $5.6 billion to crypto-related scams in 2023, according to the FBI, a 45 percent jump from the prior year. And often crypto fraud is tied in with romance scams, with criminals targeting victims through texts, dating sites, social media, networking channel…

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FINRA and NASAA exam topics that are surprising people in 2024 23:27

3M ago23:27

23:27

Ken Finnen interacts with hundreds of FINRA test takers per month, so he has a good sense of what's tripping people up. In this episode, Ken shares his insights into what question types, rules and regulations, and suitability questions are confusing people on the FINRA and NASAA exams, and how to beat them. Achievable is a modern test prep platform…

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Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation 19:31

3M ago19:31

19:31

Last week, FINRA CEO Robert Cook spoke to an audience of regulators, academics, law enforcement agencies, advocacy groups and financial firms at a conference hosted by the FINRA Foundation to underscore the importance of working together to disrupt the cycle of fraud. He highlighted specific areas for further coordination and announced that FINRA w…

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Why FINRA made the T+1 settlement date change and how it will show up on your exams 15:49

4M ago15:49

15:49

The biggest change to FINRA and NASAA exams this year is that settlement dates moved from T+2 to T+1. But what does that mean? In this episode, Ken Finnen, a longtime veteran of the finance industry and FINRA tutor for decades, walks you through what settlement dates are, why this change was made, what it means for the industry, and how to get thes…

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FINRA’s Examination Program: Optimizing for the Future 35:31

4M ago35:31

35:31

FINRA’s Examinations team carries out one of FINRA’s core functions in the examination of FINRA member firms. In an effort to continuously improve the program, the team has undertaken changes to create efficiencies before, during and after the exam process. On this episode, Michael Solomon, executive vice president of Examinations and the Membershi…

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FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets 22:35

5M ago22:35

22:35

FINRA’s Membership Application Program (MAP) team serves as the first point of contact for firms looking to enter the broker-dealer industry. It works both to protect investors by ensuring would-be member firms meet FINRA standards of admission, and to help new and existing firms grow and evolve, ensuring a vibrant market for all. On this episode, …

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An Update on FINRA’s Crypto Asset Work and the Crypto Hub 20:11

5M ago20:11

20:11

Last summer, we introduced listeners to FINRA’ Crypto Hub and enterprise-wide strategy for keeping up with the evolving crypto asset regulatory landscape. A year later, this remains an important area of focus for investors, the industry and FINRA. On this episode, Jamie Udinson, senior director of the Cyber and Analytics Unit, Michael Yuan, a direc…

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Financial Intelligence Unit: Connecting the Industry with Actionable Information 23:40

6M ago23:40

23:40

FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of providing actionable intelligence to firms, other regulators and law-enforcement to keep investors safe. On this episode, Blake Snyder, senior director of FIU, joins us to share how the group has grown and …

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Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations 22:19

6M ago22:19

22:19

Financial social media influencers—or finfluencers—are growing in popularity as a cheap way to reach a new generation of investors. But using these individuals to promote a firm its products or services comes with risks, as revealed by the results of a recent targeted review of FINRA member firm practices in the space. On this episode, Ira Gluck, s…

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Covered puts deep dive (FINRA SIE, Series 4, 7, 9, 65, 66) 14:17

7M ago14:17

14:17

Covered puts are an option income strategy that is important for traders. These strategies can be tested on the FINRA SIE and Series 4, 7, and 9 exams, as well as on NASAA's Series 65 and 66 exams. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me.…

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Amendments to FINRA Rule 4210: Covered Agency Transactions 28:00

7M ago28:00

28:00

In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions. On this episode, we talk to David Aman, senior advisor, and James Barry, directo…

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Minimum maintenance in margin accounts (FINRA SIE, Series 7, 9, 10, and NASAA Series 65, 66) 8:45

7M ago8:45

8:45

In this podcast, we cover the concept of minimum maintenance in margin accounts. Then we walk you through a practice question that could look similar to an actual test question. Margin accounts can be tested on FINRA's SIE, Series 7, 9, and 10 exams, plus NASAA's Series 65 and 66 exams. This is one of many videos available on the Achievable platfor…

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Combined equity and short / long margin (Series 7, 9, 10, 65, 66) 7:51

7M ago7:51

7:51

In this podcast, we walk through calculating equity in margin accounts and utilizing both long and short equity formulas. Then we work through a practice question that could look similar to an actual test question. Margin accounts are testable on the FINRA Series 7, 9, and 10 exams, as well as the NASAA Series 65 and 66 exams. Achievable has course…

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FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct 34:26

7M ago34:26

34:26

Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representative (HRR) Program is on the case. On this episode, Brooks Brown, Senior Director, and Eric Hebert and John Salerno, Investigative Directors, from the HRR unit join us to explain how they identify and mo…

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Taxes on options (Series 4, Series 7, and Series 9) 13:49

7M ago13:49

13:49

In this podcast, we discuss the tax implications of options transactions and work through a practice question for the FINRA Series 7 exam on the topic. Taxes on options can be tested on the FINRA Series 4, 7, and 9 exams. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at…

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Options hedging strategies: short stock with long call option (SIE, Series 4, 7, 9, 65, 66) 15:31

8M ago15:31

15:31

In this podcast, we walk you through an option hedging strategy that allows you to short stock while capping your downside: short stock and a long call. Options hedging strategies are useful in the real world and also a tested concept on the the FINRA SIE and Series 4, 7, and 9 exams, plus on NASAA's Series 65 and 66 exams. Achievable has courses w…

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Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity 23:39

8M ago23:39

23:39

Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year. On this episode, we hear from Sam Draddy, a Senior Vic…

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Naming options spreads (tested on the Series 7 exam) 13:25

8M ago13:25

13:25

This podcast is a complete overview of naming option spreads. After going through them with you, we then walk you through a practice question that could be similar to an actual FINRA test question on this topic. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://a…

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Options strategies: Short straddles (Series 4, 7, 9, 65 and 66) 12:00

8M ago12:00

12:00

We discuss short straddle options strategies, their risk & return profile, and how investors utilize them. Additionally, we analyze a practice question that could be similar to an actual test question on this topic. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https…

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Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team 34:08

8M ago34:08

34:08

Senior investor protection has long been a priority for FINRA, and the Vulnerable Adults and Seniors Team (VAST) is at the forefront of FINRA's efforts in this space. On this episode, we hear from Brooke Hickman, Director of the Vulnerable Adults and Seniors Investigative Team, Mike Paskin, a manager with VAST Investigations, and Liz Yoka, a manage…

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Options strategies: Long straddles (Series 4, 7, 9, 65 and 66) 12:48

8M ago12:48

12:48

We discuss long straddle options strategies, their risk & return profile, and how investors utilize them. Additionally, we analyze a practice question that could be similar to an actual test question on this topic. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https:…

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Sell stop limit orders - how they work (FINRA SIE, Series 7, 65, 66) 8:55

8M ago8:55

8:55

In this podcast, Brandon explains sell stop limit orders and how investors utilize them in the secondary market to make transactions. Then we analyze a practice question that could be similar to an actual FINRA or NASAA test question on sell stop limit orders. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, …

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Preparing for Change: What to Know About the Shift to T+1 27:05

9M ago27:05

27:05

On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. This move, which returns the settlement time frame back to a point at which it last stood a century ago, will have wide ranging impacts for firms, investors and regulators. On this episode, we hear from James Barry, Director of Credit Regulation with FINRA'…

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Buy stop limit orders - how they work (FINRA SIE, Series 7, Series 65, Series 66) 10:27

9M ago10:27

10:27

In this podcast, Brandon explains buy stop limit orders and how investors utilize them in the secondary market. Then we analyze a practice question that could be similar to an actual FINRA or NASAA test question on buy stop limit orders. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our cou…

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Sell stop orders - tips and tricks for FINRA exam questions (FINRA SIE, Series 7, 65, 66) 7:24

9M ago7:24

7:24

In this podcast, Brandon walks you through sell stop orders and how investors utilize them in the secondary market. Then we analyze a practice question that could be similar to an actual FINRA or NASAA test question on sell stop orders. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our cour…

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A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team 34:58

9M ago34:58

34:58

These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with Bryan Smith, the new senior vice president of FINRA’s Complex Investigations and Intelligence (CII) team and Brita Bayatmakou, vice …

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Buy stop orders - tips and tricks for FINRA exam questions (SIE, Series 7, 65, 66) 9:54

9M ago9:54

9:54

In this podcast, Brandon goes over buy stop orders and how investors use them in the secondary market. Then we analyze a practice question that could be similar to an actual FINRA or NASAA question on buy stop orders. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at htt…

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Sell limit orders overview (FINRA SIE, Series 7, 65, 66) 8:56

9M ago8:56

8:56

In this podcast, Brandon goes over how sell limit orders work and how investors use them in the secondary market. He then goes over a practice question for the sell limit orders that resembles sell limit order questions on FINRA and NASAA exams. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try…

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MRTS 2.0: A Redesign for a Rapidly Evolving Market 24:57

9M ago24:57

24:57

U.S. financial markets today are not what they were ten years ago, five years ago, or even just a couple of years ago. Over the years, FINRA's Market Regulation and Transparency Services (MRTS) team successfully grew and evolved to meet the changing demands of the markets they oversaw. But recently, the group took time to ask, how would we build th…

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Buy limit orders overview (FINRA SIE, Series 7, 65, 66) 9:23

10M ago9:23

9:23

In this podcast, Brandon goes over how buy limit orders work and how investors use them in the secondary market. He then goes over a practice question for the buy limit orders that resembles buy limit order questions on FINRA and NASAA exams. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try ou…

1
Understanding market orders (FINRA SIE, Series 7, Series 65, Series 66) 9:09

10M ago9:09

9:09

We walk you through understanding market orders and how to utilize them in the secondary market. Then, we go over an Achievable practice question on the topic so you're prepared for your exam. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me.…

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An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry 37:24

10M ago37:24

37:24

Generative Artificial Intelligence (AI) and large language models (LLM) are taking the world by storm, presenting numerous opportunities to create business efficiencies. While the new technologies offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from Brad Ahrens, senior vic…

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How to calculate bid and ask spreads - market makers (SIE, Series 6, 7, 65, 66 exams) 10:47

10M ago10:47

10:47

In this podcast, Brandon shares how to calculate bid & ask spreads, which are generally published by market makers and securities dealers. Then, he goes over an Achievable practice question together with you to ensure you understand the concepts you've learned. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63,…

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Dividend dates - FINRA SIE & FINRA Series 7 13:21

10M ago13:21

13:21

We discuss cash dividends paid on common stock investments and related dates. Additionally, we analyze a practice question that could be similar to an actual test question on this topic. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me.…

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Investors of Color: New Insights from FINRA’s Investor Education Foundation 28:14

10M ago28:14

28:14

The FINRA Investor Education Foundation has released a new report, Investors of Color in the United States, examining the behavior and attitudes of investors of color based on data from the FINRA Foundation's National Financial Capability Study coupled with a series of focus groups conducted with young Black/African American, Hispanic/Latino and As…

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Calculating the intrinsic value of Put options - FINRA SIE, Series 6, 7, 63, 65, 66 10:41

11M ago10:41

10:41

What's the value of your put options? In this episode, we explain the concept of intrinsic value as it applies to options, and then show examples of how to calculate it for put options specifically. Then, we walk you through a practice question from Achievable's FINRA courses that may be similar to an actual FINRA test question on this topic. Achie…

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How to calculate the intrinsic value of Call options - FINRA SIE, Series 7 11:22

11M ago11:22

11:22

What's the value of your call options? In this episode, we explain the concept of intrinsic value as it applies to options, and then show examples of how to calculate it. Then, we walk you through a practice question from Achievable's FINRA courses that may be similar to an actual FINRA test question on this topic. Achievable has courses with indus…

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From NCFC to Enforcement Head: Reintroducing Bill St. Louis 26:48

11M ago26:48

26:48

FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors try to manipulate the markets. This tremendous undertaking demands steadfast leadership. On this episode, we meet Bill St. Louis, the former head of FINRA’s National Cause and Financial Crimes Detection Program a…

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How to calculate total return - updated for 2023 (FINRA SIE, Series 6, 7, 65, 66) 7:58

11M ago7:58

7:58

You'll need to calculate the total return of an investment strategy in order to pass the FINRA SIE and other exams, and in your work as an investment professional. In this podcast, updated for 2023, we show you how to calculate total return, what things you need to watch out for, and then guide you through a total return problem in Achievable's FIN…

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Real world example of Form ADV Part 2B (Series 63, 65, 66) 6:58

11M ago6:58

6:58

Form ADV Part 2B is a key form that investment advisers use to make disclosures to government agencies. It can be hard to fully appreciate Form ADV Part 2B without context, so in this podcast, we walk you through a real world example of Form ADV Part 2B. This should help you in preparing for the Series 63, 65, and 66 exams. Achievable has courses w…

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Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam 12:31

11M ago12:31

12:31

FINRA recently wrapped up a targeted review of the practices of certain member firms when it comes to communicating with retail investors regarding crypto products and services. On this episode, Ira Gluck, Senior Director, Advertising Regulation at FINRA, joins us to share the results of that crypto asset communications sweep that began in November…

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Form ADV Part 2B Overview (tested on the Series 63, 65, 66) 9:35

11M ago9:35

9:35

Form ADV Part 2B is an important form that investment advisers use to make disclosures. The use of this form is tested on the NASAA Series 63, 65, and 66 exams. In this podcast, we go over the form's contents, how it is used, and walk through a practice question that you might see on the exam. Achievable has courses with industry best pass rates fo…

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Real world example of Form ADV Part 2A 11:29

12M ago11:29

11:29

The investment adviser disclosure Form ADV Part 2A is one of the key things IA compliance needs to manage and is tested on the NASAA Series 63, 65, and 66 exams. In this podcast, we walk through a real world example to help you understand the form and how it can show up on the exams. Achievable has courses with industry best pass rates for the FINR…

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2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report 36:50

12M ago36:50

36:50

As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, Ornella Bergeron, Senior Vice President of Risk Monitoring, Omer Meisel, Executive Vice Pres…

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