Skip to main content


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.

board room
As a not-for-profit membership organization, FINRA is committed to openness and engagement with our member firms regarding our financial plans. In that spirit, we are writing to update you on FINRA’s current financial situation and our path forward for funding FINRA’s mission of protecting investors and promoting market integrity while facilitating vibrant capital markets. As we have stated in several prior financial reports and communications, this path forward must eventually include an increase in member fees. 

Stock Quotes with Magnifier and Calculator
Laura is a single mother who earns less than $40,000 per year. In 2016, Laura, who had little investing experience, decided to invest in the stock market. She met with a broker and, at his suggestion, opened a brokerage account and deposited approximately $13,500—which constituted almost all of her savings.

Working on the Front Lines of Investor Protection – Test Cheaters Beware
In light of the ongoing challenges presented by the COVID-19 pandemic, FINRA recently launched an online testing service for candidates seeking to take qualification exams remotely.

Investor Protection
In the last two years, FINRA has barred more than 730 brokers and associated persons. What was the most prevalent rule violation that resulted in these bars?

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.