FINRA can heavily fine or even shut down non-compliant firms and brokers


Framework Snapshot

America’s investment community relies on fair financial markets. The Financial Industry Regulatory Authority (FINRA) is a government-authorized, non-profit organization that protects investors and ensures market integrity. FINRA compliance is essential for keeping U.S. financial institutions and their clients safe.

FINRA requires all brokers to be licensed and registered, and ensures exams have been passed, qualifications are correct, and continuing education requirements met. Investigations are conducted when violations of FINRA and SEC rules are suspected. FINRA can heavily fine or even shut down non-compliant firms and brokers.

FINRA Automation: Compliance for Less

The SureShield platform simplifies FINRA compliance by automating technical controls and guiding you through operational controls. SureShield’s automation will reduce your overall FINRA compliance cost by up to 90% when compared to traditional, labor-intensive compliance methods. For organizations requiring compliance to multiple frameworks, crosswalk automation drives cost savings up toward 90%.

FINRA Enforcement Process


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    What Else Does FINRA Do?

    Establish, Enforce Industry Rules

    FINRA requires that financial brokers be licensed, registered and adequately meet their continuing education requirements.

    Detect Wrongdoing

    FINRA detects insider trading and any strategies used by firms that may give them an unfair advantage.

    Discipline Non-Compliance

    If brokers break FINRA’s rules, FINRA imposes hefty fines, suspensions, and can even bar brokers.

    FINRA provides important aggressive regulatory oversight that keeps the U.S. markets safe and fair. Operating under the SEC, FINRA is the largest independent regulator of U.S. securities firms. FINRA protects investors by monitoring more than 624,000 brokers and analyzing billions of transactions every day.

    FINRA maintains a large library of compliance resources and tools including templates, checklists and directories to help industry members meet regulatory requirements. FINRA compliance helps protect U.S. market integrity through a variety of oversight activities listed below.

    • Examines firms for compliance with FINRA and SEC rules
    • Fosters transparency in the marketplace
    • Educates investors
    • Enforces high ethical standards
    • Implements investor safeguards
    • Establishes and enforce industry rules
    • Detects wrongdoing
    • Disciplines non-compliance
    • Resolves securities disputes

    Activate FINRA framework


    Install scanner for compliance evidence gathering


    Review baseline evidence to score compliance control status


    Close compliance gaps


    Ongoing compliance and gap surveillance


    Enforced maintenance of compliance readiness

    Free COMPLiANCE Assessment

    Do you need help assessing your compliance readiness? Learn how our automated crosswalk technology will dramatically reduce your labor requirements. Schedule your free consulting session, up to 1 hour.