International Financial Securities Regulatory Commission: Oversight

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

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

Enforcement advances investor confidence through vigorous, fair and effective enforcement of securities rules and laws, and by investigating potential violations.

Office of Fraud Detection and Market Intelligence

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.