FINRA Publishes Budget Summary And Financial Principles For First Time - Increases Transparency Into Budget - Includes No Fee Rate Increases For Member Firms

The Financial Industry Regulatory Authority today published for the first time its Financial Guiding Principles and a summary of its budget for the coming year. The additional transparency supplements the audited annual financial report FINRA has long published, responds to feedback received during CEO Robert W. Cook’s listening tour and is another important outcome of the ongoing FINRA360 organizational review.