FINRA Rules and Regulations

As FINRA helps to keep investors and their investments safe, to ensure this protection it enacts rules and publishes guidance for securities of firms and brokers. 

FINRA rulemaking process includes the following 10 steps to ensure new guidelines to protect investors and market integrity-

1. New Rule Proposals:
2. FINRA Internal Review
3. Presentation to FINRA Committees
4. Submission to FINRA Board
5. Regulatory Notice Process
6. Filing with the SEC (Security and Exchange Commission)
7. SEC Notice of the Proposal in the Federal Register
8. Response to Comments
9. SEC Approval of the Proposal
10. Regulatory Notices

If you want to explore more about our latest regulatory updates, please explore our FINRA rulebook.