FINRA regulatory intelligence for compliance officers.
Compliance officers at boutique funds, RIAs, and regulated fintechs cannot afford to miss a material regulatory action. The personal liability is real, the enforcement exposure is direct, and no Bloomberg-tier budget exists at a 20-person firm. Cresthaven Analytics delivers institutional-grade regulatory briefs to your inbox the same morning the agency publishes — minutes, not weeks.
What FINRA does
FINRA is the self-regulatory organization (SRO) for broker-dealers operating in U.S. markets. It publishes Regulatory Notices, Disciplinary Actions, Rule Filings (proposed and approved), enforcement statistics, and exam priorities throughout the year via finra.org. For broker-dealers — particularly boutique firms without dedicated regulatory affairs staff — FINRA is the second-most material US financial source after the SEC, and the agency whose disciplinary actions create the most direct supervision and registration-status risk for member firms.
Why compliance officers need FINRA intelligence
For a compliance officer at a small broker-dealer, FINRA Regulatory Notices and Disciplinary Actions drive most of your supervision agenda. The exam priorities letter sets the year. The disciplinary actions show what behavior the regulator is currently penalizing — and tell you where your firm is exposed before the next cycle of exams. Reading every Notice manually is impossible at 5-200 employee scale. Cresthaven Analytics surfaces every material FINRA release with structured briefs, regulatory delta against prior posture, and forward deadlines tied to supervisory procedure changes.
Recent FINRA brief from Cresthaven
April 4, 2026 · 14:08 UTC
FINRA publishes Regulatory Notice 26-08 proposing amendments to Rule 3110 supervisory procedures for digital communication surveillance
The Financial Industry Regulatory Authority has published Regulatory Notice 26-08 requesting comment on proposed amendments to FINRA Rule 3110 (Supervision) that would establish explicit supervisory requirements for member firms' oversight of registered representatives' use of digital communication platforms, including encrypted messaging applications, collaboration tools, and social media channels used for business-related communications. The proposal follows a multi-year enforcement campaign in which FINRA and the SEC collectively imposed over $2 billion in fines against broker-dealers for recordkeeping failures related to off-channel digital communications.
Read the full brief →Recommended tier for compliance officers
Professional ($399/month)
Six agencies covers a typical cross-jurisdictional compliance footprint (e.g., SEC + FINRA + OFAC + FCA + ESMA + FinCEN). Daily digest + weekly cross-agency synthesis gives you the cadence to brief leadership without becoming the bottleneck.
View all tiers →Frequently asked
Does Cresthaven Analytics cover FINRA Regulatory Notices and Disciplinary Actions?
Yes. The Atlas pipeline runs a dedicated FINRA vertical covering Regulatory Notices, Rule Filings (proposed and approved), Disciplinary Actions, and exam priorities letters. Each material release is delivered as a structured brief within minutes of publication on finra.org.
How does FINRA coverage map to SEC coverage in the same subscription?
FINRA and SEC are separate verticals in the Cresthaven coverage matrix. A broker-dealer compliance subscription typically includes both. Basic at $149/month covers 3 agencies (e.g., SEC + FINRA + OFAC). Professional at $399/month covers 6 with daily digests and cross-agency synthesis identifying patterns across the two regulators.
Does Cresthaven flag exam priority changes specifically?
Yes. The annual FINRA exam priorities letter triggers a high-materiality brief that identifies the supervisory areas FINRA will focus on, the implications for member firm supervisory procedures, and recommended forward actions. Material mid-year shifts in exam focus also surface as discrete briefs.
What if I am at an RIA, not a broker-dealer — is FINRA coverage still relevant?
Less directly relevant since RIAs are SEC-regulated, not FINRA-regulated. For an RIA at a small firm, the canonical 3-agency Basic setup is SEC + OFAC + a sector-specific regulator (FCA for UK exposure, ESMA for EU, FinCEN for AML). FINRA is most material for broker-dealers and dual-registered firms.