FINRA collaborates with international regulators to support and improve oversight of firms with global operations. Specifically, FINRA International works to:
- Establish and develop relationships with key international regulators to improve oversight of its global members;
- 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
- 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:
- The Alberta Securities Commission (ASC) (PDF 388 KB)
- The Australian Securities and Investments Commission (ASIC) (PDF 427 KB)
- Autorité des Marchés Financiers (AMF) of Canada (PDF 129 KB)
- The Autorité des marchés financiers (AMF) of France (PDF 363 KB)
- Comisión Nacional Del Mercado De Valores (CNMV) of Spain (PDF 611 KB)
- Comissão de Valores Mobiliários (CVM) (PDF 446 KB)
- The Financial Services Authority (FSA) (now the UK Financial Conduct Authority) (PDF 301 KB)
- The Investment Industry Regulatory Organization of Canada (IIROC) (PDF 222 KB)
- Japan Securities Dealers Association (JSDA)
- The Netherlands Authority for the Financial Markets (AFM) (PDF 207 KB)
- The Ontario Securities Commission (OSC) (PDF 359 KB)
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.