FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
I strongly encourage FINRA to allow exams to last for 5-10 years rather than 2. For industry professionals who are also parents, many of them face losing their registrations if they choose to leave the workforce for a few years until their young children are schoolage. This predominantly affects women, as statistically it's most likely that the mother will stay home with the kids. Many other
Below are form layout templates for firms that use the import feature in eFOCUS to file their FOCUS filings.
Please note that the template headers, columns, and line item IDs provided should not be modified or removed, as this will impact the compatibility of the import templates in the system.
Additionally, fields adhere to certain input formatting, such as text fields, numeric fields, or
Karinya Verghese is Vice President and Chief of Staff for FINRA Enforcement. In this role, Ms. Verghese provides strategic support to the Executive Vice President in the performance of a diverse range of functions that advance Enforcement’s operational effectiveness and strategic direction. She is also responsible for managing the Operations team within Enforcement, which include Policies and
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
