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Regulators

FINRA Engages in Self-Improvement – Your Feedback Would Help

April 20, 2017

FINRA is taking a long, hard look at its operations and programs – that are “dedicated to investor protection and market integrity through effective and efficient regulation that facilitates vibrant capital markets. To that end, FINRA issued a Special Notice to members that asks the question: How can FINRA become more effective?

 

FINRA has identified its activities into 6 basic categories or engagement programs, and this Notice provides an overview of those programs. Particular focus is given to FINRA's committees,rulemaking process and member relations and related programs.

 

1.  Engagement Through Advisory, Ad Hoc and District Committees
2.  Engagement in Connection With FINRA Rulemaking
3.  Engagement Through Member Relations, Education and Compliance Resources 
4.  Engagement Through Investor Education
5.  Reporting on FINRA Operations
6.  Other Communications, News and Reporting Information Resources

6 how it may become more effective. First, FINRA seeks comments from member firms and other interested parties.

 

If you've got a spare moment, FINRA would like your comments as to how it can enhance these programs to promote its mission and its effectiveness as an SRO.