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.
- Driving Investor Trust through Regulatory Excellence.
- The best way to ensure the liquidity of your securities.
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
Empowering Confidence:
FINRA maintains efficiency and integrity within the market by ensuring the market is operating efficiently, plus investors have confidence in the market. FINRA addresses certain market failure issues like principal-agent problems, asymmetric information, and moral hazard to regulate and improve market efficiency.
Your Shield Against Fraud:
One of the major goals of FINRA regulations is to ensure no consumer or investor has to suffer from fraud, discrimination, manipulation, and theft. FINRA regulates and prevents exploitative or abusive broker practices that take due advantage of unknowledgeable investors.
Unlocking Potential:
It is the primary duty of FINRA regulators to ensure brokers, firms, and consumers get equal and easy access to credit and capital as per their needs so that healthy growth in credit and the economy are maintained. FINRA personally oversees that every worthy borrower, irrespective of his race, gender, and location gets credit and capital.
Zero Tolerance:
FINRA regulators are burdened with duties that ensure that any market activity or financial system investing in the market is not in the interest of or supports the criminal and terrorist activity. Examples are policies to prevent money laundering, tax evasion, terrorism financing, and the contravention of financial sanctions.
Preventing Market Failures:
It is the duty of FINRA to ensure that in no way does financial market failure results in federal government payouts ultimately borne by taxpayers. Specific activities such as Deposit Insurance Fund (DIF) run by the Federal Deposit Insurance Corporation (FDIC) are only explicitly backed by regulator-run insurance schemes or by the federal government.
Building Resilience:
“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
Client reviews
INSIGHTS
In-Depth Insights for Your Journey
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FAQ
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.
