FINRA Budget Archives - The Industry Spread

FINRA Budget Examined

April 24, 2019

It’s consistent with our guiding principles that we will rely on our reserves before we take price increases,” he said. “More importantly, I’m not worried about the draw down this year on reserves because we continue to look at ways to operate the place more effectively and efficiently.”

FINRA Budget is Released

March 25, 2019

FINRA says it could draw on its reserves to make up for a projected revenue shortfall but Critics worry it might send mixed messages about dependence on fines.