Financial Industry Regulatory Authority (FINRA)

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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.