Financial Industry Regulatory Authority (FINRA)

Back to Professional Development

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:

  • writing and enforcing rules governing the activities of all registered broker-dealer firms and registered brokers in the U.S.;
  • examining firms for compliance with those rules;
  • fostering market transparency; and
  • educating investors.

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.

FACTS