FINRA International

FINRA collaborates with international regulators to support and improve oversight of firms with global operations.  Specifically, FINRA International works to:

  1. Establish and develop relationships with key international regulators to improve oversight of its global members;
  2. Integrate cross-border collaboration into FINRA's core regulatory operations to support and improve FINRA's oversight of firms and markets.  As a part of this effort, International provides FINRA staff with international regulatory intelligence and analysis on market developments and best practices at both policy and operational levels; and
  3. Contribute FINRA's viewpoints in policy dialogues with global regulatory organizations such as the International Organization of Securities Commissions (IOSCO), the Council of Securities Regulators of the Americas (COSRA), and the International Forum for Investor Education (IFIE).

FINRA has entered into information-sharing memorandums of understanding (MoUs) with key foreign regulators to allow for collaboration and coordination on selected issues.  Through these MoUs, FINRA can work with foreign counterparts to investigate possible instances of cross-border market abuse in a timely manner, exchange information on firms under common supervision of both regulators, and allow for coordination on supervision of firms and markets.

FINRA has MoUs with the following regulators:

International Visitors Program

Each year, FINRA hosts international visitors who seek to learn more about our organization. We provide an overview of FINRA's regulatory authority and address specific topics that are of interest to our visitors. To learn more about the program or to arrange a visit, please contact FINRA International via email.