FINRA reviews

Thank you for taking the time to share your feedback. To be an effective regulator, it is important that the firms we regulate know what to expect so that they can model their conduct to comply with the rules. We are increasingly focused on trying to be as transparent and consistent on what Enforcement is doing and why Enforcement is doing it. As such, certain items require management review to ensure we achieve these goals of consistency in our processes and transparency in our decisions. As we build this process, we welcome feedback and encourage you to reach out to your manager.