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Displaying 1 - 10 of 6583 Results
News Release
April 24, 2019
… FINRA Forms Office of Financial Innovation, Announces Haimera Workie as Head WASHINGTON – FINRA today announced the formation of an Office of …
About FINRA
… Innovation Outreach Initiative Background FINRA has been actively monitoring financial technology-related (FinTech) developments in the securities industry. A growing number of FinTech firms have been embracing new technologies, pioneering innovative products and developing new … and how FINRA's rules and programs interact with technology innovations. In 2019, FINRA also formed an Office of Financial Innovation to serve as a central point of coordination for issues related to significant …
News Release
June 13, 2017
… Innovation Outreach Initiative Blockchain Symposium to Take Place in NYC on July 13 WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has established an Innovation Outreach … and CEO. The initiative will build on recent efforts by FINRA to focus on fintech, such as the launch of a new fintech webpage that highlights emerging fintech topics and FINRA materials, including pieces on … technology and digital investment advice. FINRA has also created a cross-departmental team led by its Office of Emerging Regulatory Issues that is responsible for carrying out the initiative and working closely …
News Release
July 30, 2018
… Industry WASHINGTON — FINRA today issued a Special Notice seeking comment on how it can support financial technology ( fintech ) innovation consistent with its mission of investor protection and market integrity. The announcement builds on an initiative FINRA launched last year … intended to provide an opportunity for such feedback. The Innovation Outreach Initiative is led by FINRA’s Office of Emerging Regulatory Issues which, in collaboration with a cross-departmental team, developed the …
News Release
October 7, 2020
… FINRA to Hold Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours WASHINGTON—FINRA today announced the opening of registration for the 2020 FINRA Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours … AI Conference is a half-day event designed to bring together regulators and industry leaders within the financial industry to discuss the use of AI and related opportunities and challenges. The conference builds on …
Podcast
September 17, 2019
… The Createathon: Breaking Down Silos and Sparking Innovation It’s easy for any company to get caught up in the status quo, too busy focusing on the challenges of today to anticipate the challenges of tomorrow. The Createathon, FINRA’s take on a hackathon, looks to … them. Resources mentioned in this episode: FINRA Open Source FINRA Technology Innovation Technology FINRA, financial industry regulatory authority, podcast, financial regulation, compliance, regulator, Createathon, …
Podcast
August 20, 2019
… Collaboration, Expertise, Innovation and Responsibility: Introducing FINRA’s Values Corporate culture is defined as the way people act. … how to act, how to behave and how to make decisions? That’s the organization’s values. To shape the FINRA of the future, this year FINRA introduced four new corporate values—collaboration, expertise, innovation and … organizational values and how FINRA hopes these new values will help drive the organization forward. FINRA, financial industry regulatory authority, podcast, financial regulation, compliance, regulator, corporate …
Blog Post
August 1, 2018
… Fostering Innovation One Year Later August 01, 2018 Just over one year ago, FINRA launched the Innovation Outreach Initiative as part of FINRA360 , our comprehensive organizational review. The Initiative began an ongoing dialogue with industry participants, investor advocates and policy makers centered on the implications of financial technology (fintech) for the broker-dealer industry. FINRA has already taken a number of steps to …
About FINRA
December 18, 2018
… Office of the Chief Economist Personnel Staff Economists Lori Walsh | Senior Director, Deputy Chief Economist Ozzy … of 12b-1 Fees , 2004 white paper, quoted in dozens of books, litigation briefs, online articles and financial publications, including the Wall Street Journal and The Economist , over the last 9 years. … University Selected Working Papers Do Investors have Valuable Information about Brokers? , 2015, FINRA Office of the Chief Economist Working paper (with Jonathan Sokobin). Cited in several regulatory notices, rule …
Interpretive Letter
November 8, 2004
… NASD Office of General Counsel, Regulatory Policy and Oversight NASD staff is issuing this memorandum to provide … could be appropriate to transfer customers’ accounts. These situations involve: A member experiencing financial or operational difficulties; An introducing firm no longer in business; Changes in a networking … have any questions regarding this memorandum, please contact Patricia Albrecht, Assistant General Counsel, Office of General Counsel, NASD Regulatory Policy and Oversight, at (202) 728-8026. 1 A negative response …