by Michael Peters

What Is FINRA and How Does it Handle Cybersecurity?

It has become increasingly important for financial institutions to adopt robust security measures to safeguard their client’s assets and personal data. To address this challenge, FINDA has established a comprehensive set of rules to enhance its member firms’ cybersecurity posture. However, there isn’t a set-in-stone framework for specific security measures. Instead, FINRA consists of obligations… Read More

by Michael Peters

What is FINRA Compliance?

The Financial Industry Regulatory Authority (FINRA) is an independent regulatory body monitored by the SEC to manage and protect the financial industry against breaches in regulations that could lead to corruption, fraud or theft. All told, FINRA monitors up to 4,200 brokerage firms up to 75 billion transactions each day.  As part of that mission,… Read More