FINRA Unscripted

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


Listen Later

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 Initiative

Special Notice 7/30/18: FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry

FINRA API Developer Center

FINRA Rules

FINRA Rulebook Search Tool™ (FIRST™) Overview

FINRA Rulebook

Find us:  X YouTube /LinkedIn / Facebook /  E-mail

...more
View all episodesView all episodes
Download on the App Store

FINRA UnscriptedBy FINRA

  • 4.8
  • 4.8
  • 4.8
  • 4.8
  • 4.8

4.8

44 ratings


More shows like FINRA Unscripted

View all
Planet Money by NPR

Planet Money

30,695 Listeners

Marketplace by Marketplace

Marketplace

8,766 Listeners

WSJ Your Money Briefing by The Wall Street Journal

WSJ Your Money Briefing

1,703 Listeners

Investing Insights by Morningstar

Investing Insights

523 Listeners

WSJ Tech News Briefing by The Wall Street Journal

WSJ Tech News Briefing

1,646 Listeners

Notes on the Week Ahead by Dr. David Kelly

Notes on the Week Ahead

194 Listeners

The Clark Howard Podcast by Clark Howard

The Clark Howard Podcast

5,454 Listeners

The Lazy Genius Podcast by Kendra, The Lazy Genius

The Lazy Genius Podcast

6,649 Listeners

The Daily by The New York Times

The Daily

112,416 Listeners

Up First from NPR by NPR

Up First from NPR

56,511 Listeners

The Journal. by The Wall Street Journal & Spotify Studios

The Journal.

6,093 Listeners

The Securities Compliance Podcast: Compliance In Context by Patrick Hayes

The Securities Compliance Podcast: Compliance In Context

33 Listeners

The Money with Katie Show by Morning Brew

The Money with Katie Show

1,554 Listeners

UNBIASED Politics by Jordan Berman

UNBIASED Politics

2,422 Listeners

WSJ's Take On the Week by The Wall Street Journal

WSJ's Take On the Week

144 Listeners