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.