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FINRA has a new regulatory operations department

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking.
Photo: Getty Images

Thomas Hyrkiel

1 min read

FINRA has completed the consolidation of its member supervision, market oversight, and enforcement functions into a single department.

In a blog published on FINRA’s website, Greg Ruppert, FINRA’s chief regulatory operations officer, has outlined what this change means for member firms.

The new regulatory operations department will tackle five oversight functions:

  1. Assessment and addressing of potential risks to member firms, investors, and the wider market;
  2. Examination
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