2: Building A More Transparent Organization

Long before transparency was a buzzword, it was central to FINRA’s mission. Transparent markets and educated investors ensure our markets remain strong and public trust in our markets remain high. But FINRA is a self-regulatory organization (SRO), which means that transparency is also essential to FINRA’s model.

In 2017, FINRA published a special notice requesting comment on potential enhancements to its engagement programs. One year later, FINRA has taken major steps to improve its standing as a transparent SRO in the financial industry.

In this episode, FINRA’s Marcia Asquith, Executive Vice President for Board and External Relations, highlights some of the actions FINRA has taken to improve transparency not only in the markets, but also in its organization and engagement.

Resources mentioned in this episode:

FINRA360

Special Notice on Engagement

Examination Findings Report

Budget Summary and Financial Guiding Principles

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