Transcription of FINRA 2015 Year in Review and Annual Financial Report
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FINRA 2015 Year in Review and Annual Financial Report
FINRA 2015 Year in Review and Annual Financial Report1 Letter from the Chairman and Chief Executive Officer11 Table of Contents FINRA 2015 Year in Review and Annual Financial Report 1 FROM THE CHAIRMAN AND CEOR ichard G. KetchumChairman and Chief Executive OfficerWhen I became CEO of FINRA in 2009, FINRA monitored on average billion quotes, orders and trades each day, and was responsible for regulating approximately 50 percent of equity trading. Today, FINRA processes and monitors on average 50 billion and up to 75 billion pieces of market data every day. We conduct cross-market surveillance for trading in 99 percent of the listed equity market and 65 percent of the listed options market. This dramatic growth in FINRA s ability to process and monitor massive amounts of data is reflective of the tremendous steps we have taken over the past seven years to improve our regulatory oversight of the complex and interconnected securities markets and how FINRA has leveraged cutting-edge technology to regulate markets.
4 FINRA 2015 Year in Review and Annual Financial Report FINRA also ordered restitution to customers in connection with sales of complex products.
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