FINRA Compliance

The Key to a Smooth and Compliant IPO

FINRA is a self-regulatory organization responsible for overseeing broker-dealers and protecting investors. Databoss helps you complying with FINRA regulations, demonstrates your commitment to maintaining ethical standards, transparency, and investor protection.

Your FINRA Compliance Partner

Building Trust, Meeting Standards

FINRA as a Market Gatekeeper

FINRA stands shoulder to shoulder with the SEC as a crucial market gatekeeper. It plays a vital role in establishing and maintaining market transparency while simultaneously processing various procedural matters. One of the essential functions of FINRA is its Department of Fraud Detection and Market Intelligence. This office closely monitors trading activities and press releases from issuers, actively investigating any suspicious activities. 

We help companies meet the guidelines proposed by authorities, as FINRA also collaborates with the SEC in detecting and prosecuting regulatory infractions, making it a key front-line entity in safeguarding the integrity of the securities market.

Corporate Actions and Symbol Changes

FINRA requires corporations with publicly traded securities on over-the-counter markets to provide timely notice of certain corporate actions. A critical aspect of FINRA compliance is the processing of Form 211, which is submitted by a market maker to initiate or resume quotations for securities on the OTC Markets.

Databoss Helps Companies Comply with FINRA Form 211.

Securing Your Financial Future

FINRA Goals of Regulation

Get FINRA compliant and start trading your securities on major exchanges

“Working with Databoss was a game-changer for our company’s IPO. Their deep understanding of the market. Thanks to their guidance, we confidently navigated the complexities and achieved a highly successful public offering.”

Edward Kennedy
Director, Xeriant Inc.

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Frequently Asked Questions

Your Queries Answered to Navigate Your Databoss Journey with Confidence.

FINRA regulates various types of firms, including broker-dealers, investment banks, securities exchanges, and other entities engaged in securities trading and investment activities.

FINRA enforces a wide range of regulations, including those related to sales practices, customer protection, suitability of investment recommendations, advertising, recordkeeping, and anti-money laundering (AML) measures.

FINRA monitors compliance through examinations, inspections, and audits of registered firms. It reviews business practices, records, and conducts interviews to ensure adherence to regulations.

Yes, both large and small firms, as well as individual brokers, must comply with FINRA regulations if they engage in securities-related activities.

Firms can ensure robust compliance programs by appointing a dedicated compliance officer, conducting internal audits, implementing strong policies and procedures, and fostering a culture of ethics and compliance throughout the organization.