SIFMA Technology Conference Steve Randich
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1 SIFMA Technology Conference Steve Randich June 17, 2014
2 Agenda FINRA Technology Big Data and Cloud Computing Risk Platform Redesign (RPR) and Comprehensive Automated Risk Data System (CARDS) The Consolidated Audit Trail (CAT) Q&A 2
3 FINRA Technology FINRA s technology is vital to protecting investors and has become a key component of our ability to: effectively oversee brokerage firms; accurately monitor the U.S. equities markets; quickly detect potential fraud; and keep investors informed through tools like BrokerCheck FINRA s role in promoting investor confidence is focused on the following set of organizing principles: To be data informed, To be technology empowered, To be responsive to change, and To be capable of more quickly and effectively identifying and disciplining bad actions 3
4 FINRA Technology Every day, FINRA processes over 30 Billion transactions and monitors nearly 6 billion shares traded in U.S.-listed equities markets, using technology powerful enough to detect potential abuses. 4
5 Big Data Technology & Advantages to FINRA Big Data: Platform designed to crunch epic amounts of data using an army of dirt-cheap servers Advantages: Virtually infinite processing and storage Scale out horizontally Open Source Simple 5
6 Cloud Computing & Advantages to FINRA Cloud Computing: Enables rapid and cost-effective reallocation of computing power between applications in response to shifting demands. Advantages: Pay only for capacity actually used Time to market is improved Elastic & Cheap Security is equal to or better than with self-managed data centers 6
7 FINRA Technology s Big Data/Cloud Strategy 2013 Proof of Concepts Vendor selection Some implementations FINRA Cloud Migration - Market Regulation Technology FINRA Cloud Migration - Public Website, Broker Check FINRA Cloud Migration - Market Regulation Technology Launch Big Data open source project FINRA Cloud Migration Other Applications 7
8 Risk Platform Redesign (RPR): An Overview Objective: To transform the Member Regulation risk-based program by implementing new technologies supporting Web Based Exam programs, implementing the Surveillance program, and initiating and expanding the CARDS pilot. 8
9 Risk Platform Redesign (RPR): Progress More risk-based strategy and less prescriptive More focused and informed More interactive More efficient 9
10 CARDS: An Overview CARDS will provide us with on-going birds eye view surveillance that complements our boots-on-theground exams 10
11 CARDS: Current State Gathering data from the top firms Enhanced our market surveillance program Conducting a Proof of Concept (PoC) involving 2 major clearing firms, collecting data for 100s of their correspondents. 11
12 CARDS: What s Next? Expand and develop the CARDS program Released a Regulatory Notice (13-42) for industry comment Pursuing use of a standard data submission format and process for all firms Further refine and develop the draft specification and operational model for CARDS 12
13 The Consolidated Audit Trail (CAT) Central repository for SEC & all SROs to look at 100% of market activity, linked to accounts, broader products/asset classes, cross market Equities AND Options 13
14 CAT NMS Plan Development CAT processor will be selected within 2 months of the SEC s approval of an CAT NMS Plan We are here 14
15 Q&A 15
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