FINRA Compliance Consulting Services

The Financial Industry Regulatory Authority (FINRA) is a government-authorized not-for-profit organization responsible for overseeing transactions and trading practices in the US financial markets. It supervises a vast number of brokers and daily transactions to protect the integrity of financial markets and ensure fair trading for investors. FINRA also offers extensive support to stakeholders, including investors, policymakers, and market regulators.

FINRA, overseen by the Securities and Exchange Commission (SEC), promotes fairness and integrity in financial markets through various means, such as providing investor protections, enforcing regulations, setting standards for securities, and enhancing investor education.

Compliance with FINRA regulations is mandatory for organizations operating in the financial industry or engaging in securities trading on the New York Stock Exchange. To meet FINRA compliance requirements, organizations must address four main compliance concerns, including firm operations, transparent communications and sales, integrity in financial transactions, and secure management of financial assets.