FINRA Compliance Services
FINRA Compliance is a requirement for brokerage firms and security industry professionals in the United States. Working with the Netready team, your firm will be compliant and ready to continue serving clients.
What is FINRA?
FINRA is the Financial Industry Regulation Authority, Inc., that is authorized by Congress to protect investors. They accomplish this by making sure broker-dealers operate in a fair and honest way. FINRA oversees more than 624,000 brokers across the country. They analyze billions of market events daily, supporting investors, regulators, policymakers, and related stakeholders.
If you are a broker-dealer, capital acquisition broker, or funding portal, you are subject to FINRA regulations. This includes equities, corporate bonds, securities futures, and options. Additionally, FINRA acts in an oversight capacity for:
○ Licensing and admission of securities professionals
○ Authoring rules and regulations for the industry
○ Investigating firms and individuals for regulatory compliance
○ Discipling for those that fail to comply to federal securities laws and FINRA regulations
As with any industry, there are those that violate the rules and it is the role of FINRA to make sure investment professionals are operating brokerages and firms within guidelines. This includes how client data is stored, which is where Netready FINRA Compliance can support your business.
Comprehensive IT Business Services
Netready provides the total package when it comes to your business's IT needs. 24/7 IT support, expert IT services strategy and complete technological solutions that include network security and cloud solutions for your company. When you partner with Netready, you are giving your business the technological tools it needs to succeed. Don't wait. Contact us now to discuss your managed IT services needs.
Netready Saves Us Money
Working with the Netready team is like having our own IT department, intimate with our needs, but without the overhead that comes with keeping IT in-house.
David Weiner - Principal VWM Analytics
Contact Us Today
We can discuss your company's technology needs and start developing a plan to give your business the IT services & support it needs to succeed and make your business better.
Get IT Help Now!
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