finra

Market Research Report on FINRA (Financial Industry Regulatory Authority, Inc.)

Company Overview

• Name: Financial Industry Regulatory Authority, Inc. (FINRA)

• Mission: FINRA's mission is to protect investors and safeguard the integrity of the capital markets to ensure that investors can participate with confidence.

• Founded: FINRA has an 85-year history as a self-regulatory organization, operating under the oversight of the Securities and Exchange Commission (SEC).

• Key People: Robert Cook (CEO)

• Headquarters: No information is available.

• Number of Employees: No information is available.

• Revenue: FINRA is funded by member fees, not taxpayer dollars. Specific revenue figures are not provided.

• What is the Company Known For: FINRA is known for regulating member brokerage firms and exchange markets across the U.S. Its core responsibilities include writing and enforcing rules, examining firms' compliance, detecting insider trading, and overseeing dispute resolution within the securities industry.

Products and Services

• Products: No direct product offerings are discussed, but FINRA provides various regulatory services.

• High-Level Description: FINRA offers regulatory oversight services to protect investors and ensure market integrity. This includes rule enforcement, market monitoring, investor education, and dispute resolution.

• Key Features:

• Surveillance of trading to detect insider trading and market manipulation.

• Registration and examination of brokerage firms and financial professionals to ensure compliance.

• Operational threat intelligence sharing to preemptively address market risks.

Recent Developments

• Recent Developments:

• FINRA published its 2025 Annual Regulatory Oversight Report detailing the findings from its recent oversight activities.

• FINRA fined Apex Clearing $3.2 million due to violations related to the Fully Paid Securities Lending Program.

• This year alone, FINRA’s Insider Trading Detection Program referred over 450 potential insider trading cases to regulatory and law enforcement bodies.

• New Products Launched: No new product launches were reported.

• New Features Added: No information on new features added to existing offerings.

• New Partnerships: No information on new partnerships.

Industry Position

FINRA plays a crucial role in maintaining market integrity and investor protection by supervising brokerage firms and managing a range of regulatory functions. It excels in leveraging advanced analytics to monitor millions of transactions daily, ensuring fair market conduct, preventing financial fraud, and encouraging investor education and empowerment. The organization's focus on evolving threats, such as money laundering and fraud schemes, underscores its commitment to proactive risk management and market fairness.

Conclusion

FINRA stands as a pivotal regulatory body in the U.S. securities market, dedicated to ensuring transparency and accountability. While specific financial figures and operational headquarters details remain undisclosed, FINRA's expansive regulatory role, particularly in identifying and mitigating insider trading and market fraud, highlights its importance in the financial ecosystem. It remains committed to innovations in regulatory oversight while fostering education and collaboration within the industry.