FINRA reviews

Thank you for sharing your feedback. In 2018, FINRA transformed its Enforcement program by combining two teams that handled different aspects of enforcing FINRA rules and the federal securities laws. Enforcement is one of FINRA’s most critical functions, and the changes were designed to recognize its central role, enable us to better target developing issues that can harm investors and market integrity and ensure a uniform approach to charging and sanctions. As with any large scale change, there is period of transition while we work towards an improved process. We agree that the colleagues in the Enforcement department and throughout the organization are bright, hard working people!