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FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers.
- Rules & Guidance
FINRA is here to help keep investors and their investments...
- Registration, Exams & CE
FINRA’s rigorous registration standards aim to safeguard the...
- 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...
- Rules & Guidance
Have you ever wondered who protects investors—and how? FINRA, the Financial Industry Regulatory Authority, is a not-for-profit organization authorized under the federal securities laws and registered with the Securities and Exchange Commission (SEC).
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.
