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Technology Based Innovations for Regulatory Compliance in the Securities Industry outlines recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The Financial Industry Regulatory Authority (FINRA) regulates a critical part of the securities industry—brokerage firms doing business with the public in the United States. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA for the first time is sharing an annual snapshot of some of the data collected in the course of its work.
A resource where small broker-dealer firms can get help navigating FINRA’s systems and resources.Call (833) 26-FINRA (833-263-4672)
Monday – Friday
9 a.m. – 6 p.m. Eastern Time
As part of our ongoing efforts to provide support for small firms, and in response to the FINRA Special Notice on Engagement and FINRA360, FINRA developed the Small Firm Helpline to assist broker-dealers that need general help navigating FINRA’s systems and resources.