This episode originally aired in November 2021.
Transparency plays a central role in promoting the fairness and efficiency of U.S. markets, lowering transaction costs, leveling the playing field and enhancing public trust in our markets. And the data market transparency provides serves as the lifeblood of FINRA's surveillance program.
On this episode, we hear the Market Regulation and Transparency Services’ Jon Kroeper, executive vice president of the Quality of Markets Group, and Ola Persson, senior vice president and head of Transparency Services, about FINRA's historical commitment to market transparency and how it has impacted FINRA's regulatory regime.
Resources mentioned in this episode:
Trade Reporting and Compliance Engine (TRACE)
TRACE at 20 - Reflecting on Advances in Transparency and Fixed Income
Consolidated Audit Trail (CAT)
Regulatory Notice 20-43
Advancing Market Regulation and Transparency
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Preparing for Change: What to Know About the Shift to T+1
A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team
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An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry
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From NCFC to Enforcement Head: Reintroducing Bill St. Louis
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2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report
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A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team
An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
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