Sharing Data and Strengthening Compliance

When you are growing up, you learn “sharing is caring.” At FINRA, Tom Gira’s Market Regulation and Transparency Services team takes that to heart when it comes to their surveillance data.

In episode 13, Gira explained how the cloud and machine learning enable his team to sift through massive amounts of data to detect misconduct. In this episode, we learn that FINRA isn’t just keeping that data for itself; it is sharing it with financial firms to help them achieve and monitor compliance with FINRA rules.

Listen to learn how FINRA’s rapid remediation program and industry report cards are helping to foster stronger, fairer markets in this episode of Unscripted.

Resources mentioned in this episode:

Report Center
Sweep Letter: Order Routing Conflicts
Pricing Disclosure in the Fixed Income Markets