How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance

In episode 12 we sat down with Steve Randich and learned how the cloud provides FINRA with the storage space and computing power to process up to 101 billion market events in a single day. Today, we sit down with FINRA’s head of Market Regulation and Transparency Services, Tom Gira, to hear how the cloud and machine learning enable his team to more efficiently and effectively sift through this massive amount of data to detect misconduct.

Enforcement Guiding Principles

What are the principles that guide FINRA’s decision making when it comes to taking Enforcement action? That’s the question that’s been on the mind of FINRA’s head of Enforcement, Susan Schroeder, since she took on the role in mid-2017. In this episode, Susan rejoins us to discuss how getting back to basics is helping her build a more effective Enforcement team.

Fintech, Regtech & Suptech: Keeping Up with Industry Innovations

How are financial regulators keeping up with the newest fintech developments and predicting their impact on the financial industry? Last year, FINRA launched the Innovation Outreach Initiative to address this very issues. In this episode, Haime Workie and Kavita Jain talk about the initiative itself and share their insights on the fintech innovations that are driving market activity around the world.

How FINRA Rules Get Made (And Reviewed)

An economist and a lawyer walk into a room. This isn’t the start of a bad joke, it’s an integral part of FINRA’s rule making process. At FINRA, economists and lawyers work closely together to ensure that FINRA’s rules are as effective and as tailored as possible. In this episode, Phil Shaikun from FINRA’s Office of General Counsel, and Jonathan Sokobin, FINRA’s Chief Economist, explain how the process works.

Sharing Data and Strengthening Compliance

In episode 13, we sat down with Tom Gira and learned how his team use machine learning to sift through billions of market events each day to detect misconduct. But FINRA isn’t just keeping that data for itself, it is sharing it with financial firms to strengthen regulatory compliance across the industry. Today, Gira joins us once again to share how his team is using the data to foster fairer markets.

Broker Dealer Firms We Regulate - A

A. P. SECURITIES, INC.
15 WATERVIEW DR, CENTERPORT, NY 11721
Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721

A.BRIDGE REALVEST SECURITIES CORPORATION
244 CAMBRIDGE OAKS, PARK RIDGE, NJ 07656

A.G. QUINTAL INVESTMENT COMPANY INC.
2177 ACUSHNET AVE., NEW BEDFORD, MA 02745-6316

A.G.P. / ALLIANCE GLOBAL PARTNERS
88 POST ROAD WEST, 2ND FLOOR, WESTPORT, CT 06880

A5 SECURITIES LLC
375 WEST END AVE UNIT 10D, NEW YORK, NY 10024

AAG CAPITAL, INC
2211 ASHLEY OAKS CIRCLE, WESLEY CHAPEL, FL 33544

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