Financial Industry Regulatory Authority (FINRA)
FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers.
FINRA is not part of the government. They are a not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly.
They do so by:
FINRA regulation plays a critical role in America’s financial system—by enforcing high ethical standards, bringing the necessary resources and expertise to regulation and enhancing investor safeguards and market integrity—all at no cost to taxpayers.