Compliance Platform

What is the FINRA ?

The Financial Industry Regulatory Authority (FINRA) is an American, government-authorized, not-for-profit organisation that acts as a self-regulatory organization and regulates member brokerage firms and exchange markets. The aim of FINRA is to protect investors and ensure the market’s integrity.   

FINRA licenses individuals and admits firms to the industry, writes rules to govern their behavior, examines them for regulatory compliance, and is sanctioned by the U.S. Securities and Exchange Commission to discipline registered representatives and member firms that fail to comply with federal securities laws and FINRA’s rules and regulations. It also provides education and qualification examinations to industry professionals.  

As part of its regulatory authority, FINRA periodically conducts regulatory exams of its regulated institutions. FINRA oversees more than 624,000 U.S. broker-dealers and analyzes billions of daily market events. 

This solution will facilitate the implementation of FINRA.