1 Feb 2019
FINRA Response
6yThank you for your feedback. As part of FINRA360, the review of our processes and business, we are looking at a number of ways to become more effective and efficient at achieving our mission of investor protection and market integrity. In particular, we are in the midst of transforming our Examination and Risk Monitoring program which we believe will help address many of the concerns you mention. We are taking a fresh look at our approach and leveraging feedback from many stakeholders including current and former employees. If you have additional feedback, you can email glassdoor@finra.org.