FINRA · Financial regulation · Forge
Oversight systems improved for a securities regulator
FINRA is the self-regulatory organization that protects investors and supports market integrity across the US securities industry.
FINRA
| Area | Before | After |
|---|---|---|
| Oversight systems | Caused friction, behaved inconsistently | Changed where friction was worst |
| Processes | Hard for teams to manage | Clearer day to day |
The problem
- Industry
- Financial regulation
- Location
- United States
FINRA’s oversight work ran on systems that caused friction and behaved inconsistently.
That work spans complex regulatory requirements across many broker-dealers and representatives. It coordinates examinations, rule enforcement and market monitoring.
Every change had to meet strict compliance and security standards.
What we built
We reviewed the systems behind FINRA’s oversight work to find where they caused the most friction.
We then changed those systems and the processes that run on them.
The result
The systems behind regulatory work now run more consistently.
Day-to-day processes are now clearer and easier for regulatory teams to manage.
Why it mattered
FINRA’s job is to protect investors and keep markets fair, so the systems behind its oversight work have to be dependable.
