FINRA’s Journey To Developing A Machine-Readable Rulebook

FINRA's rulebook has now been made even more accessible.

onDecember 5, 2022 at 11:46 AM

FINRA (photo by David Lat).

I spoke with Alex Khachaturian, who serves as a director in FINRA’s Office of Financial Innovation. FINRA is a U.S. securities regulator with oversight of broker-dealers. Its core guidelines are investor protection and market integrity. FINRA recently announced the launch of a Machine-Readable Rulebook Initiative, designed by FINRA to make its rulebook more accessible when searching for relevant information or developing automated compliance function through an Application Programming Interface (API). You may try the FINRA Rulebook Search Tool™ (FIRST™) on FINRA’s website. You may refer to FINRA’s Special Notice on the Initiative to learn more and submit a public comment.

Sponsored

Navigating Financial Success by Avoiding Common Pitfalls and Maximizing Firm Performance

In this CLE-eligible webinar, we’ll explore the most common accounting pitfalls and how to avoid them for your firm.

From Pilot and Above The Law

Olga V. Mack is the VP at LexisNexis and CEO of Parley Pro, a next-generation contract management company that has pioneered online negotiation technology. Olga embraces legal innovation and had dedicated her career to improving and shaping the future of law. She is convinced that the legal profession will emerge even stronger, more resilient, and more inclusive than before by embracing technology. Olga is also an award-winning general counsel, operations professional, startup advisor, public speaker, adjunct professor, and entrepreneur. She founded the Women Serve on Boards movement that advocates for women to participate on corporate boards of Fortune 500 companies. She authored Get on Board: Earning Your Ticket to a Corporate Board Seat, Fundamentals of Smart Contract Security, and Blockchain Value: Transforming Business Models, Society, and Communities. She is working on Visual IQ for Lawyers, her next book (ABA 2023). You can follow Olga on Twitter @olgavmack.