Empowering Compliance
We are enhancing how we support member firm compliance to better protect investors and safeguard market integrity while facilitating vibrant capital markets.
Expanding Rapid Remediation—A FINRA Forward Initiative to Resolve More Issues Earlier
Feral Talib, Executive Vice President, Head of Surveillance, FINRA
Every day, FINRA processes billions of events across U.S. equities, options, and fixed-income markets. This bird’s-eye view of market activity positions us to spot patterns that may signal a technological glitch or compliance gap that, if not swiftly rectified, could disadvantage the firm, compromise market integrity, or harm investors.
Feedback Drives Us Forward
As a self-regulatory organization, we actively solicit feedback from member firms and draw on their expertise. This engagement results in stronger, more informed regulation. There are many different ways for member firms and other stakeholders to provide feedback and get involved.
In response to feedback from members, we are:
Enhancing Data Insights
We are providing more proactive data insights to members, enabling firms to identify issues or red flags before an examination or investigation.
Streamlining Data Requests
We are streamlining our requests for data from member firms.
Improving Filing Processes
We are enhancing our filing processes and reviews to strengthen efficiency and effectiveness.
FINRA Forward in Action
We took the feedback we heard from member firms and have built new processes, programs and tools to help solve core problems.