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FINRA oversees the integrity and fairness of the US capital markets by providing rules, tools and resources for investors and firms. Learn how FINRA works with the SEC, policymakers and stakeholders to advance racial justice and innovation in the market.
- Rules & Guidance
FINRA is here to help keep investors and their investments...
- Events & Training
In a dynamic market, financial regulations change frequently...
- Compliance Tools
Our compliance tools come in many forms, including...
- R&G section 1
The FINRA Manual keeps investment professionals up to date...
- Registration section 1
Both firms and individuals must be registered with FINRA to...
- BrokerCheck
BrokerCheck is a trusted tool that shows you employment...
- About FINRA
FINRA is dedicated to protecting investors and safeguarding...
- Contact
FINRA Data provides non-commercial use of data, specifically...
- Rules & Guidance
FINRA is a not-for-profit organization that oversees U.S. broker-dealers and their personnel, ensuring the integrity of securities markets and protecting investors. Learn about FINRA's mission, events, data, enforcement actions, crypto hub and more.
The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets.
La Financial Industry Regulatory Authority, Inc (FINRA, por sus siglas en inglés) es una corporación privada regulatoria estadounidense encargada de gobernar y gestionar la actividad entre corredores de bolsa, dealers y el público inversionista.
FINRA protege a los inversores y promueve la integridad del mercado de valores en Estados Unidos. Si usted ha sido víctima de fraude o malversación, puede cooperar con FINRA y reportar su caso.
