Spring World 2018

Conference & Exhibit

Attend The #1 BC/DR Event!

Spring Journal

Volume 31, Issue 1

Full Contents Now Available!

Tuesday, 02 January 2018 20:52

Why You Need To Worry About FINRA

Feeling Invincible is Ignorance to Reality

The Financial Industry Regulatory Authority is under the radar for many organizations. Being fully aware of the violations and their consequences can prevent unneeded issues. 

“It won’t touch us.” Such is the position of many organizations when it comes to the Financial Industry Regulatory Authority (FINRA). Rather than keeping FINRA firmly on their radar screen, these organizations downplay its power and their own vulnerability, believing themselves immune to the potential for violating FINRA rules and facing the consequences. However, gambling on this immunity is dangerous at worst and foolhardy at best, for several reasons.