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Leadership in Technology

Innovative technology is vital to FINRA’s ability to protect investors and safeguard a vibrant marketplace that works for everyone. Our commitment to pioneering technology enables FINRA to keep pace with complex securities markets that are constantly evolving.
Leadership in Technology

FINRA leverages artificial intelligence, big-data technology and open-source solutions, all in the public cloud. On a daily basis we take in billions of securities market events – more than 70 billion per day on average in 2019 – and stitch them together, creating tens of trillions of rows of data. Then we run complex, algorithmic surveillances on the data – including machine learning – to search for patterns and help our human analysts detect potential fraud and manipulation.

It’s very important, impactful work, done on a hugely complex, massive scale, by the best people, who truly believe in our mission. Our people gain expertise on the job, doing meaningful projects you don’t find anywhere else. It’s all part of our distinctive approach to staff learning, development and leadership. That’s how we pioneered the public cloud for the regtech space, and today that’s how we’re delivering the Consolidated Audit Trail, the biggest project in regtech – perhaps in all of fintech.

Using the same approach, we have transformed the portal that member firms use for their FINRA compliance and reporting. The new FINRA Gateway streamlines the firms’ user experience and provides a flexible solution that can be customized to an individual firm’s specific needs. We also apply our expertise and technology to provide database and registration systems under contract with the SEC and state regulators; these include BrokerCheck, the Central Registration Depository and the Investment Adviser Registration Depository and Investment Adviser Public Disclosure

In addition to advances by FINRA’s Technology department, FINRA’s Office of Financial Innovation (OFI) serves as a central point of coordination for issues related to significant financial innovations by FINRA member firms, particularly new uses of financial technology. OFI enhances FINRA’s ability to identify, understand and foster financial innovation in the markets in a manner that strengthens investor protection and market integrity.

Podcast
FINRA hosted the virtual AI Conference to bring together regulators and leaders across the financial services industry to discuss the use of artificial intelligence and related opportunities and challenges. On this episode, we hear about the current and future state of AI from three industry leaders.
News Release
WASHINGTON—FINRA today announced the opening of registration for the 2020 FINRA Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours Nov. 9-10.
Podcast
Technology is opening up new possibilities when it comes to solving business challenges. And that's important when it comes to optimizing an organization's most valuable limited resource: its people. On this episode, Member Supervision's new head of Data Analytics and Technology explains how FINRA is augmenting its examination and risk monitoring program.
Podcast
FINRA's Research and Development Program is using advanced analytics to change the way FINRA performs its essential regulatory functions. It is designed to be quick and agile, hoping to find transformative new technologies, but willing to fail and fail fast when an idea doesn't work out. On this episode, we learn more.
Blog Post
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. Here’s why.
Report / Study
Artificial Intelligence (AI) technology is transforming the financial services industry across the globe.
Blog Post
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. Not with a single, loud bang, but rather through a steady march of more readily available and inexpensive computing power, new innovations like cloud storage and massive amounts of data from a myriad of sources.
Blog Post
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. More than 270 attendees in person and approximately 75 firms via the web saw presentations covering a broad range of topics including:
Blog Post
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. The Buildathon paired industry technologists and compliance leaders with high performing technology students from MIT, Harvard and other Boston institutions for a hackathon-style competition. Teams competed in one of four challenge areas: investor literacy, investor onboarding, investor risk assessment and protecting senior investors.
Podcast
Hackathons aren’t new. Silicon Valley has been using them for years and they’ve become commonplace among technologists. But what about a Buildathon? On this episode of FINRA Unscripted recorded at the first ever Buildathon in Boston, we hear from three leaders who pulled together a unique collaboration between FINRA, the private sector and academia. They discuss FinTech and the investor literacy landscape, how this event is different from other hackathons and why cross-sector partnerships can lead to better technology solutions.

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