- A vibrant market is at its best when it works for everyone | FINRA. org
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
- About FINRA
FINRA is a self-regulatory organization for member broker-dealers that is responsible under federal law for supervising our member firms Since the 1930s, under the oversight of the Securities and Exchange Commission (SEC), we have pursued our mission:
- BrokerCheck - Find a broker, investment or financial advisor
BrokerCheck is a reliable tool to access employment history, certifications, licenses, and violations of brokers and investment advisors
- Registration, Exams and CE - FINRA. org
Firms and individuals must be registered with FINRA to conduct securities business with the investing public FINRA operates the Central Registration Depository program (CRD), that supports the licensing and registration filing requirements of the U S securities industry and its regulators
- Contact FINRA
Reach out for help with identifying the appropriate FINRA contact for assistance, navigating FINRA’s systems or finding online resources, or for general questions
- Rules Guidance - FINRA. org
FINRA is here to help keep investors and their investments safe To ensure this protection, we enact rules and publish guidance for securities firms and brokers
- How FINRA Serves Investors and Members
FINRA offers conferences, meetings and educational resources responding to the real-world compliance challenges and questions identified by member firms FINRA provides services that benefit member firms, markets and investors
- Financial Industry Regulatory Authority - Wikipedia
FINRA licenses individuals and admits firms to the industry, writes rules to govern their behavior, examines them for regulatory compliance, and is sanctioned by the U S Securities and Exchange Commission (SEC) to discipline registered representatives and member firms that fail to comply with federal securities laws and FINRA's rules and
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