The Financial Industry Regulatory Authority (FINRA) is a private, self-regulatory organization established in 2007. It operates under the supervision of the U.S. Securities and Exchange Commission (SEC) and is the largest non-governmental regulator for securities firms in the United States. FINRA's primary mission is to protect investors and ensure market integrity by regulating brokerage firms and their registered representatives.
FINRA oversees approximately 5,100 brokerage firms, 174,000 branch offices, and over 672,000 registered securities professionals. It develops and enforces rules to promote ethical practices, administers qualification exams for securities professionals, and provides tools like BrokerCheck for investors to review brokers' backgrounds. Additionally, FINRA offers arbitration and mediation services for dispute resolution and educational resources to help investors avoid scams. Its customers include brokerage firms, registered securities representatives, investors, and regulatory bodies like the SEC.
The Financial Industry Regulatory Authority (FINRA) is a private, self-regulatory organization established in 2007. It operates under the supervision of the U.S. Securities and Exchange Commission (SEC) and is the largest non-governmental regulator for securities firms in the United States. FINRA's primary mission is to protect investors and ensure market integrity by regulating brokerage firms and their registered representatives.
FINRA oversees approximately 5,100 brokerage firms, 174,000 branch offices, and over 672,000 registered securities professionals. It develops and enforces rules to promote ethical practices, administers qualification exams for securities professionals, and provides tools like BrokerCheck for investors to review brokers' backgrounds. Additionally, FINRA offers arbitration and mediation services for dispute resolution and educational resources to help investors avoid scams. Its customers include brokerage firms, registered securities representatives, investors, and regulatory bodies like the SEC.
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