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Fostering Engagement

The securities industry is highly complex and rapidly evolving, consisting of diverse securities firms serving institutional and retail customers with a wide range of investment objectives. In such a sophisticated landscape, how is FINRA so effectively able to pursue its mission of investor protection and market integrity? Through constant and active engagement with its stakeholders.
Fostering Engagement

The self-regulatory model is unique, in that it allows for the sharing of information among a multitude of industry stakeholders, including member firms, other regulators and industry groups, investors and investor advocates, U.S. Congress and other government agencies. FINRA engages with these important segments through a range of activities—from its transparent rulemaking and governance processes to its industry events and investor research and education—to foster a free-flow of information to empower all industry participants.

Through these engagements, FINRA gains insights to enrich its regulatory programs and identify ways to protect investors and promote market integrity that are practical, tailored and effective; industry stakeholders can help provide constructive feedback and perspectives that can enhance the regulatory and compliance framework; and the investing public and others can access tools and resources to make sound financial decisions and protect themselves from fraud.

By fostering continuous engagement, FINRA is able to regulate vibrant securities markets where the public can invest with confidence.

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News Release
Board Approves Rulemaking Items, Hosts Securities and Exchange Commission Officials WASHINGTON—FINRA’s Board of Governors held its fourth meeting of the year—the first with Eric Noll as Chair—on Sept. 21-22 in New York. The Board approved two rulemaking items and continued its engagement with key stakeholders by hosting officials from the Securities and Exchange Commission (SEC).
News Release
WASHINGTON – On many measures of financial capability, U.S. adults generally fared better in 2021 than in the decade leading up to the pandemic, according to the FINRA Investor Education Foundation’s nationwide, triennial study, published today. However, the research also shows that Americans’ financial wellbeing remains uneven across different demographic groups.
Media Center
The FINRA Annual Conference is packed full of panels with information on all the latest compliance trends and emerging regulatory issues. On today's episode, we're taking you behind the scenes of the opening plenary session of the 2022 event, a conversation between FINRA President and CEO Robert Cook and the chair of the FINRA Board of Governors, Eileen Murray.
News Release
SPACs, Margin Debt and CAT Among New Data Categories WASHINGTON – FINRA today published the 2022 FINRA Industry Snapshot, the annual statistical report on the brokerage firms, registered representatives and market activity that FINRA oversees. This year’s edition adds new data about special purpose acquisition companies (SPACs), customer margin debt, the Consolidated Audit Trail (CAT) and other areas.
News Release
Outreach Follows Recent Efforts to Expand Opportunities for Participation WASHINGTON – FINRA today issued Special Notice 3/31/22 to encourage securities industry professionals and non-industry stakeholders from diverse backgrounds to become involved in FINRA’s advisory committees.
News Release
Board Approves Rulemaking Items and Use of 2021 Fine Monies; Meets With SEC Chair Gary Gensler
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.
News Release
Board Approves Rule Proposals and FINRA’s 2022 Budget, Appoints SFAC and NAC Members WASHINGTON – FINRA’s Board of Governors met on Dec. 1-2 in New York. During the meeting, it approved two rule proposals and FINRA’s 2022 budget, appointed members to the Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC), and received the results of recent SFAC and Regional Committee elections.
Podcast
As a Self-Regulatory Organization, FINRA benefits from the expertise and industry knowledge of member firms to react more quickly to emerging challenges and write more effective and efficient regulations. FINRA’s Regional Committees play an important role in this process, supplying FINRA with real-time insights that help us fulfill our mission of investor protection and market integrity. On this episode, we learn more.
News Release
WASHINGTON – FINRA announced today the election or appointment of five industry members to its 22-member Board of Governors. Seven of the 10 industry seats on FINRA’s Board are decided via election, and large, mid-size and small firms decide the Governors who represent their respective firm categories in those seats. At the Annual Meeting of FINRA Firms on Sept. 1, firms elected the following Governors to fill the three open elected seats: