Robert Cook on FINRA Forward, and More

Robert Cook on FINRA Forward, and More

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How FINRA Is Enhancing Member Firm Examinations

Examinations are a cornerstone of FINRA's regulatory oversight, but how we conduct them is evolving. As part of FINRA Forward, we're making our approach more risk-informed, more efficient, and more transparent. On this episode, J. Koutros, Senior Vice President of Member Supervis ...  Show more

Trading Around the Clock: Inside FINRA's Trade Reporting Enhancements

Every time you check a stock price on your phone or watch a ticker scroll across a screen, you are seeing the result of a complex reporting system most investors never think about. Behind that number is a vast infrastructure capturing and consolidating trades from exchanges and o ...  Show more

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