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How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance

July 16, 2018

Every day, FINRA processes roughly 60 billion market events. This includes stock orders, modifications, cancellations and trades from the moment orders are placed, as they move through the markets and are executed. And FINRA not only processes a massive amount of data each day, but also must analyze it to uncover misconduct.

How does FINRA surveille this enormous volume of data to find instances of abusive activity? With exceedingly sophisticated technology and highly adept analysts in FINRA’s  Market Regulation and Transparency Services group. Today we sit down with Tom Gira the head of the department and a 25-year veteran of FINRA.

Tom explains how FINRA’s use of technology, specifically the cloud and machine learning, has improved FINRA’s quality of regulation, furthering the organization’s mission of market integrity and investor protection.

Resources mentioned in this episode:

Options Clearing Corporation

FINRA Market Regulation

FINRA Ad Hoc Committees

12: How the Cloud Has Revolutionized FINRA Technology

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