Regulators

Financial Industry Regulatory Authority (FINRA) Compliance

FINRA is the largest independent regulatory body for securities firms operating in the United States, which explains the critical need for efficient FINRA compliance consultants and solutions. FINRA oversees broker-dealers, investment advisors (RIAs), and other securities firms.

FINRA regulates the trading of equities, corporate bonds, securities futures and options.

FINRA oversees more than 4,500 brokerage firms.

We help you gain complete control over your FINRA compliance obligations.

Ascent’s Regulation AI extracts your firm’s FINRA obligations from oceans of regulatory text and distills them down into daily tasks. This targeted intelligence streamlines your horizon scanning and change management processes, ensuring you never miss an important detail.

Then, ensure completeness using Ascent’s full set of compliance management tools. The result is a traceable, end-to-end FINRA compliance software solution
that helps you on the path towards 100% compliance.

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