FINRA is committed to maintaining secure applications and infrastructure as we strive to protect the data we handle. We wish to encourage security researchers to report vulnerabilities in order to help us keep our enterprise and data safe.
As a not-for-profit, self-regulatory organization (SRO) with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways
WASHINGTON — As part of the Financial Industry Regulatory Authority (FINRA)'s effort to increase market transparency and thereby enhance investor confidence, FINRA today began providing data indicating the activity levels in each alternative trading system (ATS), including all market facilities commonly called "dark pools."
2020 Exams Will Be Conducted Under Unified Program
WASHINGTON—FINRA announced today the senior leadership team under the new examination and risk monitoring structure within the organization. This marks the consolidation of FINRA’s three exam functions into a single, unified program—a process that began in October 2018.
FINRA regulates more than 3,600 firms and 630,000 individual brokers, and
Number of Women With Non-Retirement Investments Remains Stagnant, While Ownership Among Men, Millennials and African-Americans Increases
WASHINGTON – Knowledge of key investing concepts among investors is low, with two-thirds of U.S. adults who own taxable investment accounts failing to correctly answer more than half of the questions contained on a 10-question quiz of investor knowledge,
A hindrance to increasing the diversity in the securities industry may be the cumbersome processes regarding testing accommodations which disparately impact neurodiverse and disabled persons. Documentation requirements exceeding beyond what the ADA establishes as sufficient has a disparate impact on neurodiverse and disabled persons. Requiring unnecessary documentation is often costly, untimely
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure
January 31, 2012
Dear Executive Representative/Chief Compliance Officer:
FINRA® is publishing its
2012 Regulatory and Examination Priorities Letter
to highlight new and continuing areas of significance to our regulatory programs, including topics of heightened importance to FINRA's Member Regulation, Market Regulation and Enforcement Departments, and the
Last Voting Date: January 30, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) invites members to vote to approve amendments to the NASD By-Laws to require executive representatives of members to update firm contact information electronically, to maintain electronic mail
