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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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FINRA Podcast Attack: OATS
FINRA has today released a new Compliance Podcast on OATS Expansion New Graphic, a 9-minute program. Access the "OATS" and other recent podcasts on the FINRA Website, using the links listed below.
FINRA podcasts are short online audio recordings that highlight news, regulatory updates and other compliance topics. FINRA has created podcasts as a convenient way to get compliance-related information into the hands of compliance professionals. Podcasts cover compliance topics, updates and speeches. Please note that you do not need a portable digital media player to listen to podcasts.
3/14: OATS Expansion New Graphic. FINRA staff reviews a July 2011 Order Audit Trail System expansion requiring firms to report all national market system stocks, and explains technical enhancements to OATS.
3/7: FINRA Fixed Income Conference Keynote Address New Graphic. In this 37-minute program, FINRA Chairman and CEO Rick Ketchum discusses developments in the fixed income markets, including areas of regulatory concern and focus.
3/2: February 2011 Monthly Recap New Graphic. In this 11-minute program, revisit the latest FINRA Notices, compliance resources and news from February 2011.
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January 11, 2017