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I. Introduction
FINRA, a not-for-profit organization, is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets. Authorized by Congress, FINRA works to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers across the country—and analyze billions of
The following is a list of trademarks of Financial Industry Regulatory Authority, Inc. (FINRA Marks). This list may be updated at any time without notice.
ADF®
Agency Debt Trade Dissemination ServiceTM
ATDSTM
Bond Trade Dissemination ServiceTM
BrokerCheck®
BTDSTM
Certified Regulatory and Compliance Professional (CRCP)®
CRCP®
CRD®
eFOCUSTM
Financial Industry Regulatory Authority®
FINRA®
FINRA
As a public service organization entrusted with safeguarding America’s investors and ensuring a vibrant market that works for everyone, responsible citizenship is embedded in everything we do at FINRA. These responsibilities dictate that we act in ways that strengthen our workplace, our industry and our communities.
We have centered our corporate social responsibility program
FINRA is a not-for-profit, self-regulatory organization 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 members’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
Background
In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360, its comprehensive review of its operations. In response to the Special Notice, FINRA received a number of comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms. After
Background
In response to the March 2017 Special Notice on Engagement issued as part of FINRA360, FINRA received a number of comments and suggestions regarding the effectiveness of communications with and education of firms, including ways in which FINRA could enhance its engagement with member firms. After careful review of the comments and suggestions received, FINRA is taking a number of
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Background
In response to the March 2017 Special Notice on Engagement issued as part of FINRA360, FINRA received a number of comments and suggestions regarding the governance and transparency of the Board of Governors. These comments stated a desire for more public information regarding the Board's composition and activities. After careful review of the comments and suggestions
Background
A large number of registered representatives are also Certified Financial PlannerTM (CFP®) professionals. These professionals must complete a minimum of 30 continuing education (CE) hours every two years as part of the requirements for CFP certification renewal. Through the FINRA360 process, a number of firms expressed a desire for improved opportunities with regard to continuing
Background
FINRA has been actively monitoring financial technology-related (FinTech) developments in the securities industry. A growing number of FinTech firms have been embracing new technologies, pioneering innovative products and developing new client-oriented financial services business models. Many traditional financial service providers are also rethinking their business models,
Background
In response to the March 2017 Special Notice on Engagement issued as part of FINRA360, FINRA received a number of comments and suggestions regarding ways in which FINRA could help facilitate compliance among its member firms. One of FINRA's defining characteristics as a self-regulatory organization (SRO) is the ability to develop compliance tools and other resources to assist our