FINRA Unscripted

Author: FINRA

FINRA Unscripted is the voice of the nations 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 investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.
Be a guest on this podcast

Language: en

Genres: Business, Government, Investing

Contact email: Get it

Feed URL: Get it

iTunes ID: Get it

Get all podcast data

Listen Now...

Supporting Capital Formation: FINRA’s Evolving Regulatory Approach
Episode 193
Tuesday, 3 November, 2026

Capital is the lifeblood of the U.S. economy, funding everything from businesses of all sizes to scientific breakthroughs and infrastructure. With markets moving faster than ever and new products, players, and risks emerging daily, FINRA is modernizing its regulatory framework to keep pace, all while keeping investor protection at the center.On this episode, Joe Sheirer, Senior Vice President, Corporate Financing, and Gaby Aguero, Vice President, Corporate Financing, explore recent amendments to FINRA rules, expanded IPO access, a recently approved proposal around projected returns in marketing materials, and the data FINRA is publishing to help the entire ecosystem operate more effectively.Resources mentioned in this episode:AskCorpFin@FINRA.orgSEC-Approved Rule 2210 Change (Performance Projections)Reg. Notice 26-14: FINRA Requests Comment on Proposed Changes to Modernize Rule 2210 (Communications with the Public)Reg. Notice 26-04: FINRA Adopts Amendments to the Capital Acquisition Broker RulesRule 5110 (Underwriting Terms and Arrangements)Rule 5123 (Private Placements of Securities)Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings)Rule 5131 (New Issue Allocations and Distributions)Rule 2310 (Direct Participation Programs)Quarterly Regulatory Policy AgendaFINRA Investor Education FoundationFINRA ForwardFINRA Forward: A Year of Progress Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.