SummaryAs a self-regulatory organization, FINRA is committed to continuous improvement that draws on deep engagement with its member firms. Among other benefits, this engagement enables FINRA to better understand and address risks to investors and markets; better adapt its oversight to changing business practices and markets; better support innovation and the deployment of new technologies and
Ladies and Gentlemen: This will be the first of a series of comments by the undersigned in conjunction with FINRA's request for comments, as set forth in FINRA Notice 25-04.FINRA's focus, concerning the updating and modernization of its rules, is on:Capital Formation. Key areas where its rules or related regulatory requirements may affect or create unnecessary challenges for
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FINRA is a not-for-profit, self-regulatory organization dedicated to investor protection and market integrity. Learn how our structure and operations safeguard investors.Regulatory OperationsProtecting investors and safeguarding markets requires constant vigilance
FINRA offers parties in active arbitration cases free or low-cost telephone mediation with initial claim amounts of $50,000 or less.
As we continue to evolve in a rapidly changing financial landscape, it is essential to consider how hybrid work arrangement has contributed to making employees feel that they have more of a work / life balance & supports retention & productivity. As firms compete for top talent, offering flexibility has become a crucial factor in attracting & retaining skilled
FINRA disciplinary actions for the month of March 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
