Empowering Compliance
We are enhancing how we support member firm compliance to better protect investors and safeguard market integrity while facilitating vibrant capital markets.
Report Card Enhancements—A FINRA Forward Update
Stephanie Dumont, Executive Vice President and Chief Market Services Officer, FINRA
For more than 25 years, FINRA has offered member firms “report cards” as one type of voluntary compliance support tool. Report cards provide member firms with secure access to data and analysis that can help them detect potential compliance issues and, in turn, remediate those issues before they become more serious.
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
Bringing the Interpretation Handbook Into the Digital Age