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We oversee more than 624,000 brokers across the country—and analyze billions of daily market events. We use innovative AI and machine learning technologies to keep a close eye on the market and provide essential support to investors, regulators, policymakers and other stakeholders.
How FINRA Serves Investors and Members. 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. Read Now.
FINRA-certified brokers have registered and undergone stringent Qualification Exams. They are also required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained.
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 sure the securities industry operates fairly and honestly.
FINRA Gateway, the new compliance portal, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.
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.
The Financial Industry Regulatory Authority, also known as FINRA, helps protect investors by regulating brokers in the United States. It does this through rulemaking, enforcement, investigations...
The Financial Industry Regulatory Authority (FINRA) is the single largest independent regulatory body for securities firms operating in the United States. It oversees almost 3,300...
FINRA publishes its Sanction Guidelines so that members, associated persons and their counsel understand the types of disciplinary sanctions that may be applicable to various violations. Whenever possible, Enforcement orders firms and individuals to make restitution to harmed customers.
FINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty. The U.S. Social Security Administration offers a service that enables employers to verify the social security numbers (SSN) of employees.