Financial Industry Regulatory Authority

Overview

The Financial Industry Regulatory Authority (FINRA) is a non-profit organization established in 1939, operating within the Computers and Technology and Financial Services sectors in the USA. With a workforce of over 1,000 employees and annual revenue of approximately $1.4 billion, FINRA plays a crucial role in regulating the securities industry. Its published documents reflect a focus on providing guidance and best practices for financial services professionals. One document outlines the application process for expanding the number of associated persons involved in sales, detailing the necessary information and documentation required for the Continuing Membership Application (CMA) and emphasizing the importance of thorough submissions to facilitate the review process. Another document addresses the topic of insider threats, offering practical tips and effective controls for organizations to mitigate such risks. Through these publications, FINRA aims to enhance compliance and operational integrity within the financial services industry, supporting firms in adhering to regulatory standards and improving their overall governance.

Industry