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Modernizing Oversight

We are reviewing, updating and enhancing FINRA rules, guidance and processes to modernize requirements, facilitate innovation and eliminate unnecessary burdens.

FINRA Forward’s Rule Modernization—An Update 
Robert Colby, Executive VP and Chief Legal Counsel, FINRA

We are opening our rule book to ensure that requirements continue to work as intended: to protect investors and safeguard market integrity without imposing unnecessary burdens on firms. Doing that amid an ever-changing landscape is a continuing challenge, and also an opportunity for stakeholder engagement.

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We are looking to modernize our oversight across these key areas and more:

Rule Modernization

We are systematically reviewing our rules and guidance to ensure they remain relevant and effective. This includes updating or eliminating outdated requirements while preserving investor protections and streamlining compliance obligations where appropriate.

Regulatory Coordination and Harmonization

We are working with other regulators to reduce duplicative requirements by aligning regulatory approaches across different market segments and creating more consistent standards where appropriate.

Engagement with Industry and Other Stakeholders

We are soliciting feedback through comment letters, roundtables and committee meetings, and maintaining regular dialogue with member firms about regulatory challenges.

Rulemaking Resources