Legal and Compliance
About
The Legal and Compliance team at FINRA is responsible for ensuring that the organization's regulatory framework is upheld and that broker-dealers adhere to industry standards. This team provides legal guidance, oversees enforcement actions, and navigates complex compliance issues to protect investors and maintain the integrity of the financial markets. Their expertise supports the implementation of effective policies and the management of legal challenges, contributing to FINRA's mission of fostering a fair and honest financial environment.