FINRA

FINRA provides a regulatory and compliance app designed to support financial firms, broker-dealers, and investors in navigating the complex landscape of securities regulation and industry standards. The app delivers access to critical resources, tools, and information essential for oversight, risk management, and adherence to FINRA rules and compliance requirements.

Key features of the FINRA app include regulatory updates, compliance checklists (such as cybersecurity assessments), supervisory tools aligned with FINRA Rule 3110, and educational content that explains the obligations for firms to maintain effective supervision systems. The app helps users monitor regulatory changes, assess control gaps, and manage firm-wide risks by offering structured frameworks and reporting capabilities tailored to financial firms’ operational needs.

With a focus on transparency, accountability, and structured oversight, FINRA supports the financial industry’s efforts to mitigate risks through clear guidance on supervisory requirements, data protection, and business conduct. The app is a resource for firms to comply with federal securities laws, manage third-party risks, and promote operational integrity, helping ensure industry-wide regulatory compliance without promotional claims or sales-driven language.

This solution is especially relevant for compliance officers, legal teams, and financial professionals seeking up-to-date regulatory tools and comprehensive support for maintaining adherence to FINRA’s standards and safeguarding investor interests.

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Website: finra.org

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