Finra is relying on complex data analytics to target examinations of brokers at higher risk for violations, according to the regulator's chief risk officer, Carlo di Florio. The industry's ...
FINRA already uses advanced data warehouses and appliances developed for Big Data storage from partners such as Apache Software Foundation, HortonWorks, Cloudera and Hadoop installation MapR to ...
NEW YORK (Reuters) - FINRA requires brokers to disclose 23 types of incidents that might give investors concern, such as regulatory sanctions, lawsuit judgments and bankruptcies. The regulator then ...
The Financial Industry Regulatory Authority Inc. ended 2024 with penalties against the brokerage arms of large banks and financial institutions for a variety of technical and trading issues, ranging ...
The Financial Industry Regulatory Authority, better known as FINRA, has come under some scrutiny in the past few weeks for how it uses and plans to use data. On its website, FINRA describes itself as ...
During FINRA’s 2023 Annual Conference held on May 16-18, 2023, several panels provided insight into how FINRA is currently using CAT data for market surveillance and how FINRA plans to use the data ...
WASHINGTON--(BUSINESS WIRE)--FINRA published today the 2026 FINRA Regulatory Oversight Report, a vital resource that draws insights from FINRA’s regulatory operations programs that member firms can ...
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