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Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://player.fm/legal.
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Encore | How FINRA Rules Get Made (And Reviewed)
Manage episode 246978613 series 2309258
Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://player.fm/legal.
This episode originally aired in August 2018.
Schoolhouse Rock taught us how a bill up on Capitol Hill becomes law. Unfortunately, they never got around to explaining how a FINRA rule proposal becomes regulation.
In this episode, Phil Shaikun from FINRA’s Office of General Counsel and Jonathan Sokobin, FINRA’s Chief Economist, fill that gap and explain how lawyers and economists are working together to ensure FINRA’s rules are as effective and as tailored as possible.
Plus, Shaikun and Sokobin give an inside look into how the FINRA Retrospective Rule Review process works, how rules are selected for review and the myriad of possible outcomes.
Resources mentioned in this episode:
Retrospective Rule Review
SEC Federal Register
FINRA Advisory Committees
Special Notice on Engagement
Regulatory Notice on Membership Application Process
Regulatory Notice and Comments on Outside Business Activities
161 episodes
Share
Manage episode 246978613 series 2309258
Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://player.fm/legal.
This episode originally aired in August 2018.
Schoolhouse Rock taught us how a bill up on Capitol Hill becomes law. Unfortunately, they never got around to explaining how a FINRA rule proposal becomes regulation.
In this episode, Phil Shaikun from FINRA’s Office of General Counsel and Jonathan Sokobin, FINRA’s Chief Economist, fill that gap and explain how lawyers and economists are working together to ensure FINRA’s rules are as effective and as tailored as possible.
Plus, Shaikun and Sokobin give an inside look into how the FINRA Retrospective Rule Review process works, how rules are selected for review and the myriad of possible outcomes.
Resources mentioned in this episode:
Retrospective Rule Review
SEC Federal Register
FINRA Advisory Committees
Special Notice on Engagement
Regulatory Notice on Membership Application Process
Regulatory Notice and Comments on Outside Business Activities
161 episodes
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Similar to FINRA Unscripted
The Village Global podcast takes you inside the world of venture capital and technology, featuring enlightening interviews with entrepreneurs, investors and tech industry leaders. Learn more at www.villageglobal.vc.
…
continue reading
Bitcoin pioneer Charlie Shrem peels back the layers on the lives and backgrounds of the world's most impactful innovators. Centering around intimate narratives, Shrem uncovers a detailed, previously unspoken story of the genesis and evolution of bitcoin, cryptocurrency, artificial intelligence, and the web3 movements. Join Shrem as he journeys through the uncharted territories of tech revolutions, revealing the human side of the stories that shaped the digital world we live in today.
…
continue reading
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…
continue reading
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continue reading
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…
continue reading
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Motley Fool Money is a daily podcast for stock investors. Weekday episodes offer a long-term perspective on business news with The Motley Fool's investment analysts. Weekend shows are a mix of investing classes and longer-form interviews. The show is hosted by Dylan Lewis, Ricky Mulvey, and Mary Long.
…
continue reading
Professor Elizabeth Joh teaches Intro to Constitutional Law and most of the time this is a pretty straight forward job. But when Trump came into office, everything changed. During the four years of the Trump presidency, Professor Joh would check Twitter five minutes before each class to find out what the 45th President had said and how it jibes with 200 years of the judicial branch interpreting and ruling on the Constitution. Acclaimed podcaster Roman Mars (99% Invisible) was so anxious abou ...
…
continue reading
The Moneycontrol Podcast is your daily source of business news, investment analysis and advice on stocks and the markets. Tune in to broaden your horizons with podcasts by journalists, experts and analysts giving you a head-start in the investment game.
…
continue reading
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