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Technology Blog

Innovation
At FINRA, we do more than just ensure the broker-dealer industry operates fairly and honestly. One of our core values is innovation.

createathon
At FINRA, we’ve built a framework and cultivated a mindset, a culture for innovation and collaboration. It not only helps ensure the securities industry follows the rules, but also it empowers our employees with projects, programs, and opportunities so they can be the best version of themselves.

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At FINRA, we’re the first line of oversight for the brokerage industry. And our employees are the defenders along that line, ensuring every day that we protect the investing public against fraud and other violations of FINRA rules and the federal securities laws.

technology
September 2021 marked the sixth anniversary of FINRA’s annual Createathon event, under the theme, “Powered by People.” For three days, teams of staff collaborated across business and technology to innovate.

Technology
When you think of the best work environment in information technology, you probably think of a place where you can do highly advanced work that makes a positive difference. Where the organization values your unique contribution and perspective, and invests in your ability to reach your potential.

People
What is Herd? Overview Herd is big data governance for the cloud. The herd Unified Data Catalog (UDC) helps separate compute from storage in the cloud. Herd job orchestration manages your ETL and analytics processes while tracking all data in the catalog. Here is a quick summary of features:

Technology
How FINRA Assesses Performance of its Machine Learning Models Data science has come a long way in the past 10 years. As machine learning projects become productionized, they look increasingly like software projects. Focus has shifted from presenting charts to integrating AI software into a production pipeline.

Technology
I’m proud to announce that IDG's Computerworld has named FINRA No. 1 among midsize companies on its 2020 Best Places to Work in IT list. This is our ninth appearance on the annual list, but beyond being No. 1 in our category, this one is particularly special.

AI Circuit
As far back as the 1940s, an artificial intelligence (AI) technology revolution has forever been just around the corner. Today, with significant advancements in technologies like machine learning, natural language processing and computer vision, and new customer applications like virtual assistants, that revolution is in many respects here.

Technology
During the productionization process of our machine learning patterns, we observed variations in our model predictions and probability score outputs when executed in Spark on a distributed cluster environment. This variation in model outputs occur when model type, hyperparameters, seed value and input data are held constant.

Security
FINRA held its biannual Cybersecurity Conference last month, bringing together experts from securities firms, regulators and law enforcement to share effective practices, practical tips and information about new threats and challenges.

Voices from the Buildathon
On November 8, FINRA, Deloitte and the MIT Fintech Club kicked off an innovative event aimed at leveraging fintech in service of making investors smarter and safer.

People
FINRA has provided transparency to over-the-counter equities (OTCE) trading for years through its public website.

Technology
Bitcoin is a popular cryptocurrency, which is a form of electronic cash, in which a ledger of all transactions is stored as a blockchain. In this article we will show how to compile your own local copy of the Bitcoin client, run it, and add custom commands in order to inspect various attributes of the underlying blockchain.

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UPDATE 10/19/2018: During the week of Oct. 8, 2018, exceptional market volatility again produced record numbers of electronic messages processed by FINRA, including the three highest-volume days in history:

Technology
Do you have a complex stored procedure defined in a Postgres database in which there are countless different scenarios that need to be tested? One option is to use a specific DEV/QA Postgres instance where the stored procedure is run with different sets of input data and verify the results are as expected through queries.

13 Awesome Ideas from our Createathon
This past August, over 250 people at FINRA took two days to find data driven solutions for FINRA. With over 45 teams, there were some amazing ideas that came out of this hackathon. Below are 13 awesome ideas teams came up with.

Technology
The Text Analysis team from Enterprise Solutions department wanted to help unlock the potential in these documents with text analysis. With AWS and Natural Language Processing (NLP) tools advancing, they believed they had the tools to help.

Technology
API tests provide quick feedback, resilience against brittleness in tests compared to UI end-end tests, and provide consistent results. The business logic implemented in the server-side as an API does not need to be tested from the UI/presentation layer.

Technology
Apache Spark has become a popular platform for many types of big data workloads. The Spark API offers a well abstracted API that allows developers to easily solve big data problems.

Technology
HiveQLUnit is a library of JUnit extensions for unit testing Hive scripts. In this tutorial we will explore how to create test cases for Hive scripts and then show how to implement those test cases using HiveQLUnit.

Technology
AWS makes it easy to set up a REST service with authentication using Lambda, the AWS API Gateway, and IAM. Using these technologies through AWS doesn’t require hosting cost for the Lambda and API Gateway service and you pay per Lambda call. You also benefit from Lambda auto-scaling depending on the request volume and concurrency.

Technology
XPP stands for eXtreme Parallel Processing. For larger systems with more complicated code, XPP helps achieve parallelism on the cluster at the lowest possible level i.e. individual queries to achieve maximum possible utilization.

Technology
What is Gson? Gson is a Java Library widely used to convert Java Objects into their JSON representation and vice versa.

Technology
At the end of this tutorial, you should be able to set up a generic JS project using Angular and Grunt as a task runner. The project should be able to unit test, generate test coverage report, and minify the source codes with minimal configuration. This guide can help developers who are unfamiliar with JS frameworks and tools to start learning.