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1 Spilling the Tea on Cross Culture Comedy: Jesse Appell’s Journey in China 29:42
Preparing for Change: What to Know About the Shift to T+1
Manage episode 412827836 series 2309258
On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. This move, which returns the settlement time frame back to a point at which it last stood a century ago, will have wide ranging impacts for firms, investors and regulators.
On this episode, we hear from James Barry, Director of Credit Regulation with FINRA's Office of Financial and Operational Risk Policy, Bobby Gomez, a Senior Director with Market Regulation and Transparency Services' Strategic Initiatives team, Mike MacPherson, a Senior Advisor in Member Supervision's Risk Monitoring group, and John Nachmann, Associate General Counsel with the Office of General Counsel's Regulatory Practice, to discuss what all market participants need to be thinking about and testing ahead of the transition.
Resources mentioned in this episode:
Episode 127: Understanding the Unique Risks of Every Firm
DTCC: The Key to T+1 Success Blog
Reg Notice 23-15: Regulation T and SEA Rule 15c3-3 Extension
Technical Notice: T+1 Settlement Testing
FINRA Investor Insight: Understanding Settlement Cycles
56 episoder
Manage episode 412827836 series 2309258
On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. This move, which returns the settlement time frame back to a point at which it last stood a century ago, will have wide ranging impacts for firms, investors and regulators.
On this episode, we hear from James Barry, Director of Credit Regulation with FINRA's Office of Financial and Operational Risk Policy, Bobby Gomez, a Senior Director with Market Regulation and Transparency Services' Strategic Initiatives team, Mike MacPherson, a Senior Advisor in Member Supervision's Risk Monitoring group, and John Nachmann, Associate General Counsel with the Office of General Counsel's Regulatory Practice, to discuss what all market participants need to be thinking about and testing ahead of the transition.
Resources mentioned in this episode:
Episode 127: Understanding the Unique Risks of Every Firm
DTCC: The Key to T+1 Success Blog
Reg Notice 23-15: Regulation T and SEA Rule 15c3-3 Extension
Technical Notice: T+1 Settlement Testing
FINRA Investor Insight: Understanding Settlement Cycles
56 episoder
Tous les épisodes
×![FINRA Unscripted podcast artwork](/static/images/64pixel.png)
1 Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team 35:15
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1 Unpacking the 2025 FINRA Annual Regulatory Oversight Report 24:59
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1 Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals 15:16
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1 Unlocking Transparency: Navigating FINRA’s Market Data Offerings 23:45
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1 Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub 32:07
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1 Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry 30:16
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1 The Forgotten Generation: Shining a Spotlight on Gen X’s Financial Health 34:14
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1 The Latest Research: Why Do Targets Engage with Scams? 34:50
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1 The Victim Experience: When Romance Leads to a Crypto Scam 27:00
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1 Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation 19:31
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1 FINRA’s Examination Program: Optimizing for the Future 35:31
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1 FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets 22:35
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1 An Update on FINRA’s Crypto Asset Work and the Crypto Hub 20:11
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1 Financial Intelligence Unit: Connecting the Industry with Actionable Information 23:40
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1 Finfluencers: New Marketing Strategies Meet Existing Compliance Obligations 22:19
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1 Amendments to FINRA Rule 4210: Covered Agency Transactions 28:00
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1 FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct 34:26
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1 Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity 23:39
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1 Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team 34:08
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1 Preparing for Change: What to Know About the Shift to T+1 27:05
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1 A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team 34:58
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1 MRTS 2.0: A Redesign for a Rapidly Evolving Market 24:57
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1 An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry 37:24
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1 Investors of Color: New Insights from FINRA’s Investor Education Foundation 28:14
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1 From NCFC to Enforcement Head: Reintroducing Bill St. Louis 26:48
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1 Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam 12:31
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1 2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report 36:50
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1 FINRA’s Blockchain Lab: Regulation and Innovation For The Future 28:31
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1 A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team 30:05
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1 An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub 31:38
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1 2023’s Must-Read | Report on FINRA’s Examination and Risk Monitoring Program 37:04
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1 Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit 26:55
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1 Financial Capability Study: Financial Wellbeing During a Global Pandemic 33:58
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1 The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512 24:13
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1 Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation 29:15
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1 Overlapping Risks, Part I: Anti-Money Laundering and Cybersecurity 29:06
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1 Regulation Best Interest: Implementing a New Standard of Conduct 31:56
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1 Beyond Hollywood, Part II: AML Priorities and Best Practices 31:09
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1 Beyond Hollywood: Money Laundering in the Securities Industry 25:36
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1 CRD Transformation: Enhancing the Registration & Disclosure Process 18:32
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1 The Annual Priorities Letter: A Fresh Take 21:32
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1 Insider Trading: Finding the Needle in the Haystack 27:26
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1 The New SIE Exam: Opening Doors to the Securities Industry 23:13
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