FINRA
1735 K St NW,
Washington, 20006, DC,
United States
Washington, 20006, DC,
United States
1 130-159-6500
Professional Services
FINRA Technographics
FINRA Technographics, Software Purchases, AI and Digital Transformation Initiatives
Discover the latest software purchases and digital transformation initiatives being undertaken by FINRA and its business and technology executives. Each quarter our research team identifies on-prem and cloud applications that are being used by the 3600 FINRA employees from the public (Press Releases, Customer References, Testimonials, Case Studies and Success Stories) and proprietary sources.
During our research, we have identified that FINRA has purchased the following applications: Oracle PeopleSoft ERP for ERP Financial in 2014, Workday HCM for Core HR in 2017, AppWorx Workload Automation for Business Process Management in 2017 and the related IT decision-makers and key stakeholders.
Our database provides customer insight and contextual information on which enterprise applications and software systems FINRA is running and its propensity to invest more and deepen its relationship with Oracle , SAP , Workday or identify new suppliers as part of their overall Digital and IT transformation projects to stay competitive, fend off threats from disruptive forces, or comply with internal mandates to improve overall enterprise efficiency.
We have been analyzing FINRA revenues, which have grown to $1.11 billion in 2024, plus its IT budget and roadmap, cloud software purchases, aggregating massive amounts of data points that form the basis of our forecast assumptions for FINRA intention to invest in emerging technologies such as AI, Machine Learning, IoT, Blockchain, Autonomous Database or in cloud-based ERP, HCM, CRM, EPM, Procurement or Treasury applications.
FINRA Tech Stack and Enterprise Applications
ERP Financial Management
Vendor |
Previous System |
Application |
Category |
Market |
VAR/SI |
When |
Live |
Insight |
|---|---|---|---|---|---|---|---|---|
| Oracle | Legacy | Oracle PeopleSoft ERP | ERP Financial | ERP Financial Management | n/a | 2014 | 2018 |
In 2014, FINRA implemented Oracle PeopleSoft ERP in an ERP Financial deployment to consolidate finance, procurement, and human capital management workflows. The program included concurrent PeopleSoft Tools upgrades and PeopleSoft HCM platform work, with a PeopleSoft Tools upgrade from 8.53 to 8.54 and a PeopleSoft HCM upgrade from version 9.0 to 9.2 on Oracle 12c.
The implementation focused on core finance and procurement modules, applying PeopleSoft Image 12 retrofits across ePro, GL, PO, AP, AR, BI and AM functional areas. Configuration and automation work included development and retrofit of PeopleSoft App Engine programs, SQRs and external interface programs, creation of customized HCM AppEngine code, and conversion of Crystal Reports into BI Publisher reports. Data lifecycle management was addressed using Data Archive Manage, with Archive Data Sets, Archive Templates, Archive Data Records and Archive Queries implemented to support archive and retrieval workflows.
Integration work linked Oracle PeopleSoft ERP to FINRA Vendor Management System VMS Fieldglass Cloud Solution, with requirements gathering, design and development of inbound and outbound App Engine interface programs. New Integration Broker instances were provisioned to support additional interfaces, and external interfaces were retrofitted to align with upgraded PeopleSoft images and HCM changes. Reporting and UI modernization included Fluid user interface work and a custom Purchasing Dashboard built from record views, queries, Pagelet Wizard and Pivot Grid Wizard.
Governance and process restructuring centered on HCM approval and audit capability, with design and setup of the HCM Approval Framework to manage Manager Self Service transactions. Functional fit gap analysis, development, and testing covered Human Resources, Payroll, Time and Labor and Base Benefits modules, including applied tax updates and retrofitted customizations. Custom audit tables and test scripts were created to support functional testability and auditability of configuration and code changes.
The resulting Oracle PeopleSoft ERP implementation established a consolidated ERP Financial platform for FINRA that combined upgraded PeopleSoft tools, integrated vendor management via VMS Fieldglass, data archiving, modernized reporting, and an upgraded PeopleSoft HCM stack on Oracle 12c. The scope emphasized module-level retrofits, integration broker configuration and workflow governance rather than reported outcome metrics.
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Expense Management | ERP Financial Management |
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2012 | 2012 |
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HCM
Vendor |
Previous System |
Application |
Category |
Market |
VAR/SI |
When |
Live |
Insight |
|---|---|---|---|---|---|---|---|---|
| Workday | Oracle PeopleSoft HCM | Workday HCM | Core HR | HCM | n/a | 2017 | 2020 |
In 2017, FINRA implemented Workday HCM to modernize its Core HR platform, replacing Oracle PeopleSoft HCM and centralizing workforce administration and personnel records. The implementation was positioned to deliver Core HR functionality across HR operations and associated business stakeholders, with explicit emphasis on end to end testing coverage and upgrade continuity for Workday HCM.
Workday HCM testing and configuration work focused on system integration, regression testing, Workday Upgrades, and User Acceptance Testing, supported by detailed user stories and documented design decisions both functionally and technically. Test automation was a core element, with extensive use of the KAINOS automated testing tool to build repeatable regression suites and to validate configuration and business process orchestration within Workday HCM.
Operational execution included leading a cross-functional team of integration functional, technical, and vendor resources to ensure accountability for system integration points and defect remediation. Collaboration workflows were managed in JIRA and IMeetCentral, and the team diagnosed problems to log bugs and enhancement requests, channeling issues to development for resolution and maintaining traceability from user stories to test cases and defects.
Governance centered on coordinated test governance and structured UAT cycles, aligning HR and business owners on acceptance criteria and design decisions. The implementation narrative emphasizes controlled upgrade testing and ongoing regression discipline for Workday HCM, keeping Core HR operations aligned with the application lifecycle and release cadence.
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Recruiting, Applicant Tracking System | HCM |
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2015 | 2015 |
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ERP Services and Operations
Vendor |
Previous System |
Application |
Category |
Market |
VAR/SI |
When |
Live |
Insight |
|---|---|---|---|---|---|---|---|---|
| Broadcom | Legacy | AppWorx Workload Automation | Business Process Management | ERP Services and Operations | n/a | 2017 | 2017 |
In 2017, FINRA implemented AppWorx Workload Automation. AppWorx Workload Automation was deployed as part of FINRA's Business Process Management environment to schedule and orchestrate job workflows supporting CRD filing processors, EFX and WEBCRD components, and RAMP and RAMPPLI processing.
The implementation centered on workload scheduling and automation modules that managed daily job scheduler definitions, data feed jobs, and automated password and account maintenance scripts. Teams used Java based automation, Jenkins for continuous integration and deployment of data compare and testing suites, and YAML driven Data Management API services to parameterize processing flows and test cases. AppWorx was exercised alongside JAMS through validated migration testing, with both manual and automated test suites maintained in Java, Cucumber BDD, and Postman driven API tests.
AppWorx integrations were instrumented with FINRA infrastructure components including Oracle and Postgres databases, AWS services such as S3, EC2, RDS and DMS, and internal API layers like Decaf and DM services. Scheduling and data movement jobs orchestrated ETL and data pump operations during an Oracle EE to AWS RDS migration, and AppWorx job definitions were used to provision and monitor outputs consumed by CRD, IARD, BrokerCheck, and Alfresco related processes. Operational monitoring and diagnostics were tied to Splunk dashboards and SQL query automation for filing validation and performance testing using Gatling.
Governance and operational practices included Secure SDLC artifacts, Security Threat models, participation in security hackathons, and workflow ownership within AGS RAMPPLI, RAMP, MRDT, RAMPDI, and DASL squads. The team validated AppWorx to JAMS migration paths, maintained Jenkins driven test automation for regression and data compare suites, and executed performance tuning work that improved nightly daily and monthly processing windows. All implementation activity was tracked through JIRA and Confluence and incorporated routine QA metrics and test summary reporting for upcoming production releases.
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Real Estate Property Management | ERP Services and Operations |
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2018 | 2018 |
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AI Development
Vendor |
Previous System |
Application |
Category |
Market |
VAR/SI |
When |
Live |
Insight |
|---|---|---|---|---|---|---|---|---|
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AI Guardrails | AI Development |
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2023 | 2024 |
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Generative AI Platforms | AI Development |
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2024 | 2024 |
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ML and Data Science Platforms | AI Development |
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2019 | 2019 |
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AI-Powered Application
Vendor |
Previous System |
Application |
Category |
Market |
VAR/SI |
When |
Live |
Insight |
|---|---|---|---|---|---|---|---|---|
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Chatbots and Conversational AI | AI-Powered Application |
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2021 | 2021 |
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Natural Language Processing | AI-Powered Application |
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2017 | 2017 |
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Analytics and BI
Vendor |
Previous System |
Application |
Category |
Market |
VAR/SI |
When |
Live |
Insight |
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Analytics and BI | Analytics and BI |
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2017 | 2018 |
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Analytics and BI | Analytics and BI |
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2014 | 2014 |
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Analytics and BI | Analytics and BI |
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2022 | 2022 |
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Data Warehouse | Analytics and BI |
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2014 | 2014 |
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Data Warehouse | Analytics and BI |
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2014 | 2014 |
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Data Warehouse | Analytics and BI |
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2021 | 2021 |
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Data Warehouse | Analytics and BI |
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2017 | 2017 |
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Collaboration
Vendor |
Previous System |
Application |
Category |
Market |
VAR/SI |
When |
Live |
Insight |
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Event Management | Collaboration |
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2015 | 2015 |
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Content Management
Vendor |
Previous System |
Application |
Category |
Market |
VAR/SI |
When |
Live |
Insight |
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Application, Web and Enterprise Search | Content Management |
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2021 | 2021 |
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Digital Signing | Content Management |
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2021 | 2021 |
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Web Content Management | Content Management |
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2020 | 2020 |
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ITSM
Vendor |
Previous System |
Application |
Category |
Market |
VAR/SI |
When |
Live |
Insight |
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Application Performance Management | ITSM |
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2019 | 2019 |
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IT Service Management | ITSM |
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2019 | 2019 |
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PaaS
Vendor |
Previous System |
Application |
Category |
Market |
VAR/SI |
When |
Live |
Insight |
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Apps Development | PaaS |
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2016 | 2016 |
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IaaS
Vendor |
Previous System |
Application |
Category |
Market |
VAR/SI |
When |
Live |
Insight |
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Application Hosting and Computing Services | IaaS |
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2012 | 2012 |
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Application Hosting and Computing Services | IaaS |
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2015 | 2015 |
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Application Hosting and Computing Services | IaaS |
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2015 | 2015 |
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Content Delivery Network | IaaS |
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2012 | 2012 |
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Content Delivery Network | IaaS |
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2017 | 2017 |
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Content Delivery Network | IaaS |
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2021 | 2021 |
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Data Warehouse Appliance | IaaS |
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2017 | 2017 |
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Database Management | IaaS |
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2013 | 2013 |
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Database Management | IaaS |
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2010 | 2010 |
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CyberSecurity
Vendor |
Previous System |
Application |
Category |
Market |
VAR/SI |
When |
Live |
Insight |
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Secure Email Gateways (SEGs) | CyberSecurity |
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2018 | 2018 |
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IT Decision Makers and Key Stakeholders at FINRA
| First Name | Last Name | Title | Function | Department | Phone | |
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| No data found | ||||||
Apps Being Evaluated by FINRA Executives
APPS RUN THE WORLD tracks software evaluation trends across 2 million companies worldwide, including buyer insights from FINRA IT executives and key decision makers. This section highlights FINRA's latest recorded technology evaluations, including Google Workspace (Formerly Google G-Suite) for Collaboration on 2026-03-04, Jane Street JX Single Dealer Platform for Trading Platform on 2025-10-28, and UKG Pro Succession (ex UltiPro Succession Management) for Succession and Leadership Planning on 2025-08-13. As part of ARTW Buyer Intent and technographics insights, these findings provide useful visibility into the FINRA digital transformation priorities and AI adoption trends.
| Date | Company | Status | Vendor | Product | Category | Market |
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FAQ - APPS RUN THE WORLD FINRA Technographics
FINRA is a Professional Services organization based in United States,
with around 3600 employees and annual revenues of $1.11 billion.
FINRA operates a diverse technology stack with applications such as
Oracle PeopleSoft ERP, Workday HCM and AppWorx Workload Automation,
covering areas like ERP Financial, Core HR and Business Process Management.
FINRA has invested in cloud applications and AI-driven platforms to optimize efficiency and growth,
collaborating with vendors such as Oracle, Workday and Broadcom.
FINRA recently adopted applications including
Amazon CodeWhisperer in 2024, ModelOp in 2023 and Starburst Data Platform in 2022,
highlighting its ongoing modernization strategy.
APPS RUN THE WORLD maintains an up-to-date database of FINRA’s key decision makers and IT executives,
available to Premium subscribers.
Our research team continuously updates FINRA’s profile with verified software purchases,
vendor relationships, and digital initiatives identified from public and proprietary sources.
Subscribe to APPS RUN THE WORLD to access the complete FINRA technographics profile,
including detailed breakdowns by category, vendor, and IT decision makers.