FINRA can’t predict the future, but like a weatherman, it can make predictions based on circumstances that exist today. FINRA’s Office of Emerging Regulatory Issues (ERI) looks to predict what storms may be brewing in the securities market and what areas they are likely to impact.
Consistency and foreseeability: that’s what any regulator strives for. But when FINRA CEO Robert Cook asked around, he heard that wasn’t always the case—particularly when it came to two different enforcement teams. That’s why FINRA’s Susan Schroeder has taken on the task of bring together these two teams into One Enforcement. Here’s how she’s doing it.
Senior investors may have unique needs that elevate the need for expedited attention with securities brokerage concerns. For three years, FINRA’s Securities Helpline for Seniors has been working to address those needs. Here’s how.
Diversity and inclusion are good for business. The financial services industry may not be known for its diverse workforce or inclusive culture, but FINRA is aiming to change that perception. Hear FINRA leaders share strategies and actions you can take to drive a more diverse and inclusive workplace.
Our tech-connected world faces threats against our data and technology. Both people and businesses must be vigilant to avoid a breach. In this FINRA Unscripted episode, hear from John Brady, FINRA's vice president for cybersecurity, as he talks to FINRA's Mike Rote about what his team does to combat threats and tips you can use in your life to be cyber secure. Watch: Listen:
It is 2018. America is facing a wave of new government appointments and upcoming elections at all levels of the government. And with new leaders, come new priorities. How does FINRA navigate the changing environment? We are in the nation’s capital with FINRA’s Senior Vice President of Government Affairs Greg Dean to learn how.
Do you have student loan debt? If you do, you’re not alone. Almost 70 percent of students graduate with student debt—and many entering the job market in debt are unprepared to manage their own finances. That was the case for Gerri Walsh. Gerri now leads FINRA’s investor education efforts and is here today to help make us all smarter investors.
How can FINRA become a better, more effective regulator? That’s the question Robert Cook is looking to answer by soliciting feedback from financial firms, investors and other stakeholders. FINRA360 is the program through which he is turning the answer to the question into realty.
Long before transparency was a buzzword, it was central to FINRA’s mission. Transparent markets and educated investors ensure our markets remain strong and public trust in our markets remain high. Today, we sit down with FINRA’s Marcia Asquith, EVP for Board and External Relations, to hear how FINRA is improving transparency not only in financial markets, but also in its own operations.
FINRA has an obligation to think through the impact of its rules. What is the problem we are trying to solve? How does this rule or solution solve that problem? Is it the best solution to the problem? Our Chief Economist Jonathan Sokobin asks those tough questions and more.