FINRA Launches Initiative to Simplify Firms’ Digital Experience with FINRA

FINRA announced that it is launching an initiative to transform the digital platform that consists of a multi-year effort to integrate and simplify brokerage firms’ digital interactions with FINRA. The goal is to facilitate more efficient and effective compliance programs.

The transformation, to be implemented in stages through 2022, is focused on six areas:

  • Efficiency

  • Proactive Compliance

  • Simplified Experience

  • Enhanced Interaction

  • Flexibility and Automation

  • Self Service