FINRA provides the first line of oversight for
broker-dealers and the first line of defense for investors by virtue of its
comprehensive oversight program. FINRA regulates both the firms and
professionals selling securities in the United States and the U.S. securities
markets. In this capacity, FINRA writes and enforces its own rules, as well as
enforcing federal securities rules and laws.
Member Regulation examines all firms for compliance with
FINRA, MSRB and SEC rules, and federal securities laws. It also analyzes and
regulates firm sales practices.
Enforcement advances investor confidence through vigorous,
fair and effective enforcement of securities rules and laws, and by
investigating potential violations.
OFDMI gathers and evaluates regulatory intelligence to
detect insider trading and other strategies to gain unfair market advantage.
Adjudication
and Decisions
FINRA can take disciplinary action against firms and individuals
who break securities rules by either issuing a formal complaint or through a
settlement.
Market
Regulation
Market Regulation achieves its market integrity mandate with
a unique equity and options cross-market surveillance program employing
advanced technology
Transparency
Services
The department oversees FINRA’s equity and debt reporting
facilities and ensures market transparency for investors and other market
participants.
Office
of the Chief Economist
The office analyzes the costs and benefits of existing and
potential FINRA rulemaking to ensure that rules minimize unnecessary regulatory
burdens.
The International
Financial Securities Regulatory Commission was established to promote
investor confidence in the securities and capital markets by providing more
structure and government oversight.
