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Supporting Resilience

We are expanding our cybersecurity and fraud prevention activities to support member firms and help them better protect themselves and investors from harm. 

Vendors, Intelligence Sharing and FINRA's Mission
Greg Ruppert, Executive VP and Chief Regulatory Operations Officer, FINRA

As a self-regulatory organization, we are uniquely positioned to engage with member firms to understand their business models and provide them with timely, actionable insights and information. As part of FINRA Forward, we are working to enhance how we support member firm compliance to better protect investors and safeguard markets, including strengthening the constructive feedback loop from FINRA’s regulatory programs to our member firms.

Read the Blog

 

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

Building Collaborative Intelligence Networks 

Exchanging real-time threat intelligence through collaborative platforms to defend against emerging cyber threats.

Proactive Risk Management and Assessment

Implementing tools and frameworks that identify and address security vulnerabilities before they can be exploited.

Interactive Education and Capability Building

Enhancing security capabilities through interactive learning to stay ahead of evolving financial fraud tactics.

Work in Action

 

Cybersecurity Tools and Resources

Industry Risks and Threats

We provide key resources to help member firms manage risks to their business, compliance programs and investors, including highlights of recently observed risks and observations from targeted examinations on emerging industry issues. These resources also address significant ongoing threats such as cybersecurity, fraud, anti-money laundering and sanctions to better protect firms and their investors from evolving challenges. Learn more.