Regulatory Operations Oversight Committee (ROOC)

Background

In March 2017, FINRA's Board of Governors established a new standing committee, the Regulatory Operations Oversight Committee (ROOC), to advise and assist the Board in providing oversight on FINRA's regulatory operations, and supplementing FINRA's broader self-evaluation through FINRA360. This includes providing guidance on the full breadth of FINRA's regulatory operations, including Member Regulation, Market Regulation and Enforcement, among others. The ROOC does not engage in discussions regarding individual enforcement matters.

Summary of Actions

  • Established a new standing committee, the Regulatory Operations Oversight Committee (ROOC), to advise and assist the Board.