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Empowering Compliance

We are enhancing how we support member firm compliance to better protect investors and safeguard market integrity while facilitating vibrant capital markets. 

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.

Work in Action

We took the feedback we heard from member firms and have built new processes, programs and tools to help solve core problems.

Previewing FINRA’s Crypto and Blockchain Education Program
 
 

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Bringing the Interpretation Handbook Into the Digital Age
 
 

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Member Firm Resources