17 min listen
Building A More Transparent Organization
FromFINRA Unscripted
ratings:
Length:
12 minutes
Released:
Nov 15, 2017
Format:
Podcast episode
Description
2: Building A More Transparent Organization
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. But FINRA is a self-regulatory organization (SRO), which means that transparency is also essential to FINRA’s model.
In 2017, FINRA published a special notice requesting comment on potential enhancements to its engagement programs. One year later, FINRA has taken major steps to improve its standing as a transparent SRO in the financial industry.
In this episode, FINRA’s Marcia Asquith, Executive Vice President for Board and External Relations, highlights some of the actions FINRA has taken to improve transparency not only in the markets, but also in its organization and engagement.
Resources mentioned in this episode:
FINRA360
Special Notice on Engagement
Examination Findings Report
Budget Summary and Financial Guiding Principles
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. But FINRA is a self-regulatory organization (SRO), which means that transparency is also essential to FINRA’s model.
In 2017, FINRA published a special notice requesting comment on potential enhancements to its engagement programs. One year later, FINRA has taken major steps to improve its standing as a transparent SRO in the financial industry.
In this episode, FINRA’s Marcia Asquith, Executive Vice President for Board and External Relations, highlights some of the actions FINRA has taken to improve transparency not only in the markets, but also in its organization and engagement.
Resources mentioned in this episode:
FINRA360
Special Notice on Engagement
Examination Findings Report
Budget Summary and Financial Guiding Principles
Released:
Nov 15, 2017
Format:
Podcast episode
Titles in the series (100)
A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs: 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. by FINRA Unscripted