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Ultimately, we're not going to hesitate. We will bring a case against the firm for failure to respond. We have to be able to move with urgency on these matters. @FINRA's Jessica Hopper speaking at #FINRAAC about respondents who delay or provide partial responses to 8210 requests. pic.twitter.com/4b35Zwr1q9
— FINRA (@FINRA) May 17, 2022
Jessica Hopper, EVP and Head of @FINRA Enforcement, talks about the benefit of conversations with firms during the Enforcement Developments panel at #FINRAAC.#FINRAConnect ▶️ https://t.co/ztUhE4oLK4 pic.twitter.com/sQgHfRIyDx
— FINRA (@FINRA) May 17, 2022
#Compliance tasks that used to take days now take less than an hour, say brokerage firm panelists about @FINRA's #digital experience transformation. And the data are better and more timely and actionable.#FINRAAC #FINRAConnect @FINRA_Tech ▶️ https://t.co/ztUhE4oLK4 pic.twitter.com/K8NLSXm8r5
— FINRA (@FINRA) May 17, 2022
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FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets.
Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence.
- every investor receives the basic protections they deserve;
- anyone who sells a securities product has been tested, qualified and licensed;
- every securities product advertisement used is truthful, and not misleading;
- any securities product sold to an investor is suitable for that investor's needs; and
- investors receive complete disclosure about the investment product before purchase.
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