FINRA's Exchange Solutions

Exchange Solutions provides centralized business development and client management services for Equities, Options and Futures 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 constantly evolving financial and regulatory industry landscape.

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

The portfolio of regulatory services that FINRA offers includes 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 NASDAQ, American Stock Exchange (Amex), International Securities Exchange (ISE), NQLX and the Public Company Accounting Oversight Board (PCAOB).