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A New Tool for Compliance: FINRA’s Machine-Readable Rulebook Initiative

A New Tool for Compliance: FINRA’s Machine-Readable Rulebook Initiative

FromFINRA Unscripted


A New Tool for Compliance: FINRA’s Machine-Readable Rulebook Initiative

FromFINRA Unscripted

ratings:
Length:
27 minutes
Released:
Feb 7, 2023
Format:
Podcast episode

Description

FINRA's new Machine-Readable Rulebook is designed to enhance firms' compliance efforts, reduce costs and aid in risk management, with a lot to gain for firms of all sizes and various business models. On this episode, Afshin Atabaki, Associate General Counsel with FINRA's Office of General Counsel, and Haime Workie, Vice President of FINRA's Office of Financial Innovation, join us to delve into what exactly the Machine-Readable Rulebook is, how it works, and how you can start taking advantage of all it has to offer.Resources mentioned in this episode:Special Notice 10/21/22: FINRA Requests Comment on Its Machine-Readable Rulebook InitiativeSpecial Notice 7/30/18: FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer IndustryFINRA API Developer CenterFINRA RulesFINRA Rulebook Search Tool™ (FIRST™) OverviewFINRA Rulebook
Released:
Feb 7, 2023
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.