On this recording of a June 8, 2017, TRACE Phone-In Workshop, FINRA staff review relevant rules and regulations, and discuss testing and other relevant technical information related to the July 10 requirement for to begin reporting transactions in U.S. Treasury Securities to FINRA via the Trade Reporting and Compliance Engine (TRACE).
Videos
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's March Board of Governors meeting.
FINRA has developed a video demonstration of the new web-based interface through which firms will begin submitting short interest reports to FINRA effective January 17, 2017.
FINRA President and CEO Robert Cook, Chairman of the Board Jack Brennan and Finance Committee Chair John Davidson review rulemaking and other issues discussed at FINRA's December Board of Governors meeting. In addition to the video, a summary of the board rulemaking actions is also available.
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other issues discussed at FINRA's September Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
FINRA Chairman and CEO Rick Ketchum and Lead Governor Jack Brennan review rulemaking and other issues discussed at FINRA's July Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
FINRA has developed a new report to assist firms with monitoring their supervision for trading behaviors that may be designed to manipulate the market. This new Cross Market Equities Supervision: Potential Manipulation Report displays exceptions around two behaviors—layering and spoofing - concerns recently highlighted in FINRA’s 2016 Regulatory Examination Priorities Letter. During the course of the program, we discuss the content, functionality, and anticipated usage of the report.
FINRA Chairman and CEO Rick Ketchum and Lead Governor Jack Brennan review rulemaking and other issues discussed at FINRA's February Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
In September 2015, we celebrated the 20th anniversary of the Securities Industry Continuing Education Program. This video documents the evolution of the Continuing Education Program and includes conversations with former SEC Chairman Arthur Levitt—whose initiative was the impetus for the formation of the Securities Industry Task Force on Continuing Education—and FINRA Chairman and CEO Rick Ketchum.