Regulatory Services

Regulatory Services

FINRA Exchange Solutions

Exchange Solutions provides centralized business development and client management services for Equities, and Options Markets, as well as for other regulatory entities. Exchange Solutions staff, working closely with FINRA Corporate and Regulatory Business Units, provides clients with a full range of business and regulatory services, and staff continuously evaluates potential service opportunities arising from the evolving financial and regulatory industry landscape.


Business services include developing proposals and statements of work, negotiating and implementing regulatory service contracts, developing and monitoring budgets, analyzing profit and loss, managing client contracts, invoicing clients, monitoring service levels, and assuring issue resolution.


Regulatory services include member application processing, registration processing and disclosure review, financial and operational surveillance, examinations and audits, market surveillance, investigations, disciplinary actions, dispute resolution, and regulatory consultation.


FINRA's regulatory clients include the NYSE Euronext, NASDAQ OMX, BATS/Direct Edge, the International Securities Exchange, BOX and MIAX.