FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees broker-dealers and their registered representatives in the United States. Learn what FINRA requires, how it enforces compliance, and what it means for your firm's cybersecurity program.
FINRA oversight applies to broker-dealers, registered representatives, and their associated firms. Learn whether your organization is subject to FINRA rules and what compliance obligations apply.
FINRA compliance costs include membership fees, examination costs, technology controls, staffing, and potential fines for non-compliance. Here's a realistic cost breakdown for broker-dealers of different sizes.
A practical FINRA compliance checklist covering cybersecurity controls, supervision, business continuity, recordkeeping, and examination readiness for broker-dealers and their compliance teams.