FINRA Forward: New Initiative to Support Members, Markets, and Investors

The Financial Industry Regulatory Authority (FINRA) has introduced FINRA Forward. It is a series of initiatives designed to: Improve FINRAs effectiveness, increase operational efficiency, and Better support.

FINRA CEO Robert Cook wrote in a blog post about the FINRA Forward initiatives. “To serve its mission—promoting investor protection, market integrity, and vibrant capital markets—FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient. During my time as CEO, we have worked hard to build a culture of continuous improvement across FINRA—and we have come a long way… But continuous improvement means our work is never done, especially since capital markets are constantly evolving and new opportunities to do better are always emerging,”

According to the authority, there are Three FINRA Forward initiatives:

• Modernizing FINRA Rules. FINRA is conducting a broad review of its rules to modernize requirements, facilitate innovation, and eliminate unnecessary burdens.

• Empowering Member Firm Compliance. FINRA is working to enhance how it supports member firm compliance to better protect investors and safeguard markets.

• Combating Cybersecurity and Fraud Risks. FINRA is expanding its cybersecurity and fraud prevention activities to support member firms risk management capabilities and resilience against emerging threats and to better protect member firms and their investors from harm.

About FINRA

The Financial Industry Regulatory Authority (FINRA) is a non-governmental organization that helps regulate the financial markets. It works under the supervision of the Securities and Exchange Commission (SEC) and plays a key role in protecting investors.

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