The Financial Industry Regulatory Authority (FINRA) is a non-governmental organization that oversees broker-dealers and aims to protect investors and maintain market integrity.
Email: info@finra.org
Phone: +1 202-728-8000
FINRA Communications Compliance
Category: Secure Communication Monitoring
Offers tools and guidance for monitoring communications in the financial industry, ensuring compliance with regulations and enhancing risk management..
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Trade Reporting and Surveillance
Category: Electronic Communications Surveillance
This service supports compliance with trade reporting requirements, conducts surveillance to detect insider trading and market manipulation, and provides analytics tools for firms to enhance their reporting capabilities..
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