Each year, FINRA hosts its Annual Conference in Washington, D.C. It is an event packed full of panels with information on all the latest compliance trends and emerging regulatory issues, with a number of networking opportunities spread across the three-day event. On this episode, we're taking you behind the scenes of this year's Annual Conference to listen in on a conversation between FINRA President and CEO Robert Cook and the Chair of the FINRA Board of Governors, Eric Noll.Resources mentioned in this episode:2023 FINRA Annual Conference2024 FINRA Annual Conference RegistrationFINRA Board of GovernorsEric Noll Biography

Litigation economics is not something they teach in most schools, but when it comes to unique or first of their kind enforcement matters, it's an important skill to have, whether it be in establishing sampling methodologies, the creation of a benchmark or development of restitution frameworks. On this episode, we hear from Chris Kelly, acting Head of Enforcement, and Lori Walsh, Vice President of the Office of the Chief Economist, about how FINRA's Enforcement team has been partnering up with the Office of Regulatory Economics and Market Analysis to ensure better case outcomes.Resources mentioned in this episode:Episode 124: Introducing REMAEpisode 77: How an Enforcement Action Becomes an Enforcement ActionOffice of the Chief EconomistFINRA EnforcementMonthly Disciplinary Actions

In recent months, FINRA has published two Regulatory Notices regarding the fraudulent transfer of customer accounts using an automated system called ACATS. On this episode, we'll hear all about what goes into the creation of a Reg Notice and take a deep dive on this particular issue. Plus, we'll hear about some information that didn't make it into the most recently published Notice.FINRA Unscripted welcomes three new guests, Chris Hunter, Principal Analyst with Risk Monitoring, Emily Kahn, Principal Intelligence Specialist with the Financial Intelligence Unit, and Lindsey Barnett, Senior Principal Investigator with the Special Investigations Unit, to talk about Regulatory Notices 23-06 and 22-21.Resources mentioned in this episode:Reg Notice 23-06: FINRA Shares Effective Practices to Address Risks of Fraudulent TransfersReg Notice 22-21: FINRA Alerts Firms to Recent Trend in Fraudulent Transfers of AccountsReg Notice 21-18: Practices Used to Protect Customers From Online Account Takeover AttemptsReg Notice 20:32: FINRA Reminds Firms to Be Aware of Fraudulent Options TradingRule 11870: Customer Account Transfer ContractsBSA E-filing SystemEpisode 127: FINRA’s Risk Monitoring Team

In March, FINRA hosted the Senior Investor Protection Conference, a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and other vulnerable investors from exploitation. On this episode, we're taking an abridged look at one of the conference sessions on the various trends, scams and schemes currently impacting investors. Brooks Brown, Senior Director of FINRA's High-Risk Representative Unit, moderates the conversation with Amy Nofziger, Director of Victim Support for the AARP’s Fraud Watch Network, Mayur Patel, Senior Principal Intelligence Specialist with FINRA's Financial Intelligence Unit, and Elizabeth Yoka, a Manager with FINRA's Vulnerable Adults and Seniors team.Resources mentioned in this episode:FTC Romance Scam DataAARP Helpline InfoAARP Fraud Watch NetworkThe Perfect Scam AARP PodcastFINRA Key Topic Page: Senior InvestorsReg Notice 22-25: Heightened Threat of Fraud in Small Cap IPOsReg Notice 22-05: Amendments to FINRA Rule 2165NASAA Senior WebsiteFINRA Conferences & EventsFINRA Securities Helpline for Seniors

FINRA's Risk Monitoring team is responsible for assessing financial, operational and business conduct risks that exist within individual member firms and across the industry. But they're also the day-to-day point of contact for firms for any questions they may have for FINRA. On today's episode, we're talking to Ornella Bergeron, Senior Vice President of Member Supervision's Risk Monitoring team, Brian Kowalski, Vice President of Diversified and Carrying & Clearing with the Risk Monitoring team, and Andrew McElduff, Vice President of Retail with Risk Monitoring learn more about the team’s mandate and work and why they’re such a resource for the member firms they work with.Resources mentioned in this episode:Reg Notice 22-25: FINRA Alerts Firms to Recent Trend in Small-Cap IPOsReg Notice 22-29: FINRA Alerts Firms to Increased Ransomware Risks15a-6 Chaperone Firms (from 2021 Exam and Risk Monitoring Report)Episode 90: Single Points of AccountabilityFINRA GatewayFINRA Examination and Risk Monitoring Programs