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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).
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.
As a nonprofit organization authorized by Congress to protect America’s investors at no cost to taxpayers, FINRA is the first line of oversight for the brokerage industry.
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.
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
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.
Financial Industry Regulatory Authority | FINRA is dedicated to investor protection and market integrity. Our team of highly trained professionals are passionate about protecting investors...
4 de ago. de 2023 · The Financial Industry Regulatory Authority (FINRA) is a nongovernmental organization that writes and enforces rules for brokers and broker-dealers.
21 de may. de 2024 · FINRA investigates any potential wrongdoings by brokers and decides on disciplinary actions, whether formal or informal. It maintains a list of sanction guidelines to follow based on the types of...
¿Qué hace FINRA? En pocas palabras, FINRA se encarga de mantener seguros los mercados financieros manteniendo la integridad de los corredores y agentes de bolsa. La organización trabaja en estrecha colaboración con la SEC para completar cuatro tareas principales, según el sitio web de FINRA :
