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As a not-for-profit, self-regulatory organization with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways.
Regulation and licensure functions FINRA regulates trading in equities, corporate bonds, securities futures, and options. All firms dealing in securities that are not regulated by another SRO, such as by …
Apr 25, 2026 · FINRA governs U.S. brokers and broker-dealers, ensuring investor protection and rule enforcement. Learn about its oversight role and the benefits to investors.
Financial Industry Regulatory Authority (FINRA) The Financial Industry Regulatory Authority, a self-regulatory organization for the brokerage industry.
FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. We are authorized by Congress to protect America’s investors by making …
Aug 29, 2024 · Brokers must be registered with FINRA in order to trade securities with the public. FINRA plays a big role in market security by watching for manipulation or fraud.
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization established in 2007 through the consolidation of the National Association of Securities Dealers (NASD) and certain …
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