Open Call Report – FINRA Cross Product Surveillance

Good evening and welcome to tonight’s STA Open Call titled FINRA’s Cross Product Surveillance of the Listed Options and Equity Markets. Tonight’s call is brought to you by the STA Foundation, a non-profit, 501 c 3 corporation that serves as STA’s educational arm.

As we all know, FINRA does a tremendous amount of surveillance across the marketplace. Earlier this year on an STA Open Call, Tom Gira gave us a high-level view of FINRA’s capabilities, in particular its use of AI that has enabled FINRA to surveil more efficiently with less false signals. Here with us this evening is FINRA’s Gene DeMaio, Senior Vice President, Market Regulation, who is going to go into greater detail on what FINRA is doing in its cross product surveillance of the listed options and equity markets.

See Summary Report here