Newsroom

Capital Market Insights

FINRA Publishes First Annual Industry Snapshot

Regulation and Compliance

Fostering Innovation One Year Later

Capital Market Insights

FINRA Publishes First Annual Industry Snapshot

Regulation and Compliance

Fostering Innovation One Year Later

Regulation and Compliance

Enforcement Guiding Principles

Market Integrity

How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance

Capital Market Insights

How the Cloud Has Revolutionized FINRA Technology

Regulation and Compliance

What is FINRA’s Dispute Resolution forum?

Regulation and Compliance

FINRA Announces Initiative to Transform CRD, Other Registration Systems

Exam Restructuring + the SIE Exam

Capital Market Insights

ERI: Introducing FINRA’s Weatherman

Capital Market Insights

A Conversation with SEC Chairman Jay Clayton