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

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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.

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.

trace, market research, and policy making
For 20 years, FINRA’s Trade Reporting and Compliance Engine, known as TRACE, has contributed to reduced trade execution costs, facilitated price formation, aided regulatory programs and protected investors, as detailed in a recent blog commemorating this m

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.

TRACE Anniversary
This Friday – July 1, 2022 – will mark the 20th anniversary of FINRA’s Trade Reporting and Compliance Engine, known as TRACE to everyone in the fixed income industry and regulatory community.

Testing the Effectiveness of Financial Education Across 76 Randomized Experiments

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.

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:

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.