Operations

FINRA360 has yielded a number of organizational and operational changes aimed at making FINRA a more efficient, more effective regulator.

• Changes to FINRA Enforcement Structure
• FINRA Examination Program Improvements
• FINRA Annual Budget Summary and Financial Principles
• Interim Report on Use of Fine Monies
• Data and Analytics
• Regulatory Operations Oversight Committee (ROOC)
• Enhancements to FINRA’s Disclosure Review Process Relating to Public Financial Records
• Central Registration Depository (CRD) Improvements