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Market Regulation Enforcement: Ensuring Market Integrity

Market Regulation Enforcement: Ensuring Market Integrity

FromFINRA Unscripted


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)

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.