Key to FINRA's mandate to maintain market integrity is effective, even-handed regulation, which protects investors and other market participants and enhances investor confidence in the markets. Market Regulation meets this mandate with sophisticated surveillance, examination, and enforcement programs. The surveillance units review trading activity to determine whether firms have failed to meet regulatory requirements. The examination unit conducts on-site reviews of firms' compliance with FINRA rules and federal securities laws. The Legal Section is responsible for the disciplinary program. In addition the department refers matters to the Securities and Exchange Commission when the market participant under investigation is not a FINRA member.
Welcome to the Maryland Department of Labor, Licensing and Regulation (DLLR) website. Thanks for visiting! Here you'll find information on the many programs and services available to you through our Department. DLLR provides job development and employment training to help our citizens get the skills and expertise they need to move with our economy into Maryland's future. We're dedicated to providing our business and consumer customers with high quality, efficient and friendly services. We're open for business, to serve you. We hope you will take time to browse the many options available to you on our Home Page. We'd like your input! Let us know how well the information provided here meets your needs, and what other information or services you would like available to you through the Internet.