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.