FINRA360 has yielded a number of organizational and operational changes aimed at making FINRA a more efficient, more effective regulator.
- Changes to FINRA Enforcement Structure
- FINRA Examination Program Improvements
- FINRA 2018 Annual Budget Summary and Financial Principles
- Data and Analytics
- Regulatory Operations Oversight Committee (ROOC)
- Remote Branch Office Inspections
- Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records