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Facilitating Compliance

To best ensure investor protection as a self-regulatory organization, it is critical that FINRA engage in a two-way dialogue with its member firms. It is our duty to provide the information members need to understand and meet their regulatory obligations, and in turn we regularly solicit and incorporate member feedback in order to refine our efforts.
Facilitating Compliance

This begins with ensuring that all firms and individuals are appropriately registered with FINRA and that individuals have passed relevant qualification exams. From there, we require individuals to take continuing education courses as well as offer ongoing optional programs in subject areas such as compliance, regulatory, ethical and sales practice standards, among others.

FINRA regularly engages with member firms to provide resources, tools and effective practices that help facilitate compliance with our rules. Each year, we provide an annual Exam Findings and Observations Report, Annual Exam and Risk Monitoring Priorities Letter, and host other timely, topical events such as member roundtables and forums.

We also believe that it is appropriate, after a reasonable period, to look back at our significant rulemakings to determine whether a rule or rule set is meeting its intended investor-protection objectives. These retrospective reviews look at the substance and application of a rule or rule set, including any unintended consequences, as well as our processes to administer the rules.

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Media Center
The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional Program is designed to give compliance, legal and regulatory professionals an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. On this episode, we hear from the CRCP Program's Academic Director and FINRA Program Leader about what makes the CRCP Program a must for FINRA member firms and their high-performing compliance staff.
Media Center
The market for crypto assets has seen continued growth and firms are looking for ways to get involved in the digital asset space. So far, about two dozen firms have been approved by FINRA to provide services in securities backed by digital assets. And more firms are looking to follow in their footsteps. On this episode, we hear about some common sticking points in these new and continuing member applications and how FINRA is working to support innovation while protecting investors in this dynamic environment.
Media Center
A few new deadlines from the ongoing securities industry Continuing Education Transformation are right around the corner. On this episode, we hear how the Maintaining Qualifications Program is progressing and what firms can expect in with regard to changes to the Continuing Education Regulatory Element in the months ahead.
News Release
Revisions to the Sanction Guidelines Create New Fine Ranges Specific to Firm Sizes and Individuals, Reflect FINRA’s Enforcement Priorities WASHINGTON—FINRA announced today that the National Adjudicatory Council (NAC) has made significant improvements to the Sanction Guidelines to ensure that they accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings and serve as an efficient resource for member firms, individuals and adjudicators.
Media Center
When it comes to bringing enforcement actions against individual brokers, there is a lot to consider, especially when the sanctions can be life altering for the individual in question. On this episode, we hear what makes cases against individual brokers different from those brought against firms and all the considerations involved.
Media Center
Money laundering looks different in the securities industry and that poses its own challenges. Add to that a landscape of constantly evolving threats and it is a lot to keep up with. On this episode, we hear about emerging threats and how firms can ensure their AML program remains strong and effective.
News Release
WASHINGTON—FINRA today issued a Regulatory Notice reminding member firms about the scope of broker-dealer chief compliance officer (CCO) supervisory liability under FINRA rules.
Podcast
The Report on FINRA’s Examination and Risk Monitoring program is an important reference document addressing more than 20 topics of interest for firms and regulators. On this episode, we talk to three members of the Member Supervision team about some key highlights and how firms can use this extensive document.
News Release
Includes Initial Findings From Reg BI Exams; Highlights Emerging and Ongoing Regulatory Topics Washington, D.C. – FINRA today published its 2022 Report on FINRA’s Examination and Risk Monitoring Program to provide insights from FINRA’s oversight programs to FINRA member firms. The 70-page Report covers 21 different topics—including five new subjects—relevant to an evolving securities industry.
Media Center
Greg Ruppert joined FINRA in 2020 to form and lead the National Cause and Financial Crimes Detection Programs. Now, he’s been tapped to lead Member Supervision, the team responsible for the surveillance and examination of FINRA member firms and for detecting and deterring activities that can cause investor harm. On this episode, we talk to Greg about how he views this transition in leadership and his goals and areas of focus in his new role.