Transparency is an essential element of fair and open markets. But in a rapidly evolving landscape, it can be challenging to keep up with the latest regulatory reporting requirements.
FINRA helps broker-dealers stay up to date with these requirements, making regulatory compliance easier. We employ advanced technology to monitor financial markets and regulated firms, keeping pace with the dynamic regulatory environment.
We have the resources, technology, skills and staff to help protect the integrity of our markets. And our tools can help improve the reporting process for firms.