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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.

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:
Podcast
Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. On this episode, two members of FINRA’s Office of Financial Innovation join us to discuss the group’s latest report on cloud computing.
News Release
WASHINGTON – The FINRA Board of Governors has appointed Sam Deshpande as a new public Governor. Deshpande is Chief Information Officer for Humana, a U.S. health insurance company. His term on the FINRA Board begins immediately, and he will join the Board at its upcoming Board of Governors meeting on July 21-22.
Podcast
Diversity has been a focus for FINRA’s Board of Governors for several years— and recently the Board achieved a significant milestone from a diversity perspective. On this episode we talk to FINRA’s Corporate Secretary and Deputy Corporate Secretary to hear how FINRA’s Board of Governors got to where it is today, and also to hear why diversity very much remains a perpetual work in progress.
Media Center
The 2021 FINRA Annual Conference was like no other with the event held entirely online. On this episode, take a behind-the-scenes look at the fireside chat between FINRA CEO Robert Cook and FINRA Board Chair Eileen Murray as they talk about everything from return to the office to the importance of diversity, equity and inclusion.
News Release
Board Approves 2020 Annual Financial Report; Adopts Advisory Committee Term Limits in Support of Greater Diversity and Inclusion WASHINGTON – FINRA’s Board of Governors met on May 18-19, 2021. During the meeting, the Board approved FINRA’s 2020 Annual Financial Report, which—for the first time—will include a section on human capital describing the diversity of the self-regulatory organization’s workforce and Board of Governors. The report will be published this summer.
News Release
Statistical Overview of Brokerage Firms, Registered Representatives and Trading Activity WASHINGTON—FINRA today published the 2021 FINRA Industry Snapshot, its annual statistical report on the brokerage firms, registered representatives and market activity that FINRA regulates.
News Release
We congratulate Gary Gensler on his confirmation as Chairman of the Securities and Exchange Commission. Chairman Gensler brings to the Commission an outstanding record of public service, deep expertise in the functioning of our capital markets, and consistent advocacy for the interests of investors. We look forward to working with Chairman Gensler to advance our shared mission of protecting investors and ensuring market integrity. – Robert W. Cook, FINRA President and CEO
News Release
Board Approves Rulemaking Item and Use of 2020 Fine Monies; Moves Forward With Advanced Analytics Strategic Initiative WASHINGTON – FINRA’s Board of Governors met on March 3 and 4 for the first time in 2021. During the meeting, the Board approved one rulemaking item and discussed a variety of topics, including the evolution of FINRA's Member Supervision Department, which recently published the 2021 Report on FINRA’s Examination and Risk Monitoring Program.

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