Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

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.

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.
Media Center
FINRA’s Member Relations & Education team is responsible for ensuring FINRA's regulatory programs are working for everyone and for maintaining a strong relationship with FINRA's member firms. But with a new group head looking back on an unprecedented year, the Member Relations & Education team is reimaging the future of member engagement.
News Release
WASHINGTON – The FINRA Board of Governors has appointed Deborah Bailey and Kathryn Ruemmler as new Governors. Bailey will serve as a public member, and Ruemmler as an industry member.
News Release
WASHINGTON, D.C. — As many Americans head into the holidays unemployed and behind in rent and utility bills, a new report from the FINRA Investor Education Foundation and SaverLife found that people who maintained more than $100 in savings were much less likely to have their utilities shut off or resort to high-cost borrowing methods. Those who had more than $250 in savings experienced reduced likelihood of losing their housing for financial reasons.
News Release
Board Approves Rule Proposals, Reaffirms Financial Guiding Principles and Appoints NAC, SFAC and Regional Committee Members WASHINGTON – FINRA’s Board of Governors met on Dec. 2-3.
News Release
Throughout his tenure as Chairman of the SEC, Jay Clayton has been a strong advocate for investors and for fairness and integrity in our securities markets, and we have valued his partnership and support in overseeing the securities industry. Chairman Clayton has put forward an array of initiatives that promote the interests of retail investors, strengthen the effective regulation of securities markets and firms, enhance opportunities for companies and investors in the capital-raising process and expand the inclusiveness of the SEC and the industry it oversees.
News Release
Varying Levels of Financial Knowledge Among Americans May Deepen Inequality WASHINGTON – Financial literacy is a strong indicator of positive financial outcomes for the future, but differing levels of financial literacy among Americans may contribute to widening inequality among different segments of the population, according to a new study by the FINRA Investor Education Foundation (FINRA Foundation), the University of Southern California's Center for Economic and Social Research (CESR) and The George Washington University's Global Financial Literacy Excellence Center (GFLEC).
News Release
African American and Hispanic Investors Showed Greatest Increase in Interest in Investing WASHINGTON, D.C.—Despite dramatic market volatility related to the COVID-19 pandemic during early 2020, investor optimism about the stock market remained high, and one in five Americans indicated an increased interest in investing, according to a new research study by the FINRA Foundation and NORC at the University of Chicago.
Podcast
Michael Morris’s research into and advocacy work around the financial security and capability of Americans with disabilities earned him the 2020 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, we talk to Morris, the founder of the National Disability Institute, about his research and advocacy work and the intersection of race and disability.