15 min listen
Market Regulation Enforcement: Ensuring Market Integrity
FromFINRA Unscripted
ratings:
Length:
19 minutes
Released:
Oct 1, 2019
Format:
Podcast episode
Description
What happens if a brokerage firm doesn’t report trading information appropriately? At first, it might seem like it isn’t a big deal – just a data issue. But is vital. Accurate market data is at the foundation of FINRA’s efforts to ensure the integrity of our markets.On this episode of FINRA Unscripted, we are joined by Lizzie Hogan, senior vice president of Market Regulation Enforcement, to learn what her group does, how it fits under the broader Enforcement team umbrella and why market data cases matter.Resources mentioned in this episode:FINRA Enforcement Group StructureEpisode 9: Introducing FINRA’s New Enforcement TeamDisciplinary Actions Online
Released:
Oct 1, 2019
Format:
Podcast episode
Titles in the series (100)
Member Supervision: Introducing Bari Havlik and the Exam Program Transformation: When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. In this episode, Bari shares her vision for the future and how her background in compliance has shaped her views. by FINRA Unscripted