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MEDIA CENTER

MEDIA CENTER

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.

Featured

News Release

FINRA Fines Interactive Brokers $15 Million for Widespread AML Failures

Podcast

Encore | Beyond Hollywood: Money Laundering in the Securities Industry

Podcast

Virtual Conference Panels: Fireside Chat on Current Issues

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Podcast
Encore | At, By or Through: Fraud in the Broker-Dealer Industry
This episode originally aired in April 2021.The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. On this episode, we hear from the then-head of FINRA's National Cause and Financial Crimes Detection Programs about recent trends and how firms can work to protect themselves and their customers.
Podcast
2021 Small Firm Conference: A Fireside Chat with Robert Cook and Greg Ruppert
The small firm community, those firms with 150 or fewer registered financial professionals, came together in October to discuss and engage on key areas of concern at the Small Firm Conference. On this episode, we're taking you behind the scenes of this year's event with an abridged look at the fireside chat with FINRA CEO Robert Cook and Executive Vice President Greg Ruppert.
Podcast
Encore | Overlapping Risks: Anti-Money Laundering and Cybersecurity
This episode originally aired in October 2020. Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money laundering responsibilities. A firm's AML risks can overlap with any number of other priorities. On this episode we look at the overlapping risks of AML and cybersecurity.
Podcast
Single Points of Accountability: Navigating Firms’ Experiences with FINRA
As part of FINRA’s Member Supervision Transformation, each firm was assigned a Single Point of Accountability – a senior leader in Member Supervision that helps firms navigate their experience with FINRA. On this episode, we are joined by two SPOAs to learn more about their roles and priorities.
News Release
SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
WASHINGTON—The Securities and Exchange Commission's Division of Examinations and Office of Municipal Securities (OMS), the Municipal Securities Rulemaking Board (MSRB), and FINRA today announced the opening of registration for the 2021 Compliance Outreach Program for Municipal Advisors. The virtual program will be held Thursday, Oct. 7, 2021, 10 a.m.-5 p.m. ET. Additional information and program materials, including the agenda, are available on FINRA’s website.
News Release
New FINRA Report: Diversity of Cloud Computing Models Among Broker-Dealers Raises Opportunities and Challenges for the Securities Industry
FINRA Requests Comments on Report  WASHINGTON—A diversity of cloud computing models is transforming how broker-dealers operate, with the potential to enhance agility, efficiency, resiliency and security within firms’ operations, while also highlighting the importance for firms to consider relevant regulatory factors for maintaining investor protection and market integrity, according to a new research report from FINRA.
Media Center
Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead
The pandemic forced the world to re-evaluate how it works—and FINRA’s Arbitration & Mediation Forum was no exception. To keep processes moving, FINRA Dispute Resolution Services allowed hearings to proceed virtually. A year later, we are looking at lessons learned, tips for practicing remotely and plans for the future of arbitration and mediation.
Media Center
At, By or Through: Fraud in the Broker-Dealer Industry
The brokerage industry has an important role to play when it comes to detecting, preventing and reporting fraud. On this episode, we hear from the head of FINRA's National Cause and Financial Crimes Detection Programs about recent trends and how firms can work to protect themselves and their customers.
Podcast
Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead
Last year, as FINRA staff looked to adjust to a new exam and risk monitoring program structure, the industry and the world was struck with an unprecedented global crisis. On this episode, the second in a two-part series, we hear how the program adapted in the face of the pandemic before looking ahead to priorities for 2021.
Podcast
Year in Review: The 2020 Exam and Risk Monitoring Program
2020 was a year of great change and transition for FINRA’s Exam and Risk Monitoring Program—and the pandemic wasn’t even the start of it. On this episode, the first in a two-part series, we hear how the program fared in its first year after a major transformation.

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