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Within FINRA, we view ourselves as working on the “front lines” of investor protection.  What does that mean? 

Raj Pillai, The Zoom Guy
First in a series highlighting colleagues working behind the scenes to help FINRA achieve our mission. Raj Pillai is no stranger to crises. Y2K. 9/11. The Northeast blackout of 2003. Superstorm Sandy. He has worked through them all, the latter at FINRA, which he joined in 2011.

FINRA held its biannual Cybersecurity Conference last month, bringing together experts from securities firms, regulators and law enforcement to share effective practices, practical tips and information about new threats and challenges.

LIBOR Image of London
For years, the London Interbank Offered Rate (Libor) set the benchmark for global interest rates and impacted trillions of dollars in financial activity, leading many to call it as “the world’s most important number.” However, following controversies and reform efforts after the 2008 financial crisis, regulators in the United States and United K

Reg BI
FINRA hosted a Regulation Best Interest (Reg BI) conference on Dec.18, 2019 in Washington, D.C. for firms to discuss best practices and approaches.

Voices from the Buildathon
On November 8, FINRA, Deloitte and the MIT Fintech Club kicked off an innovative event aimed at leveraging fintech in service of making investors smarter and safer.

digitizing regulation
Imagine a new age of regulation in which compliance efforts were highly effective, and were also inexpensive. This seeming alchemy is coming to financial services in the form of new-generation “regtech.”

Innovation Banner
Just over one year ago, FINRA launched the Innovation Outreach Initiative as part of FINRA360, our comprehensive organizational review. The Initiative began an ongoing dialogue with industry participants, investor advocates and policy makers centered on the implications of financial technology (fintech) for the broker-dealer industry.

Global Economy Image
UPDATE 10/19/2018: During the week of Oct. 8, 2018, exceptional market volatility again produced record numbers of electronic messages processed by FINRA, including the three highest-volume days in history: