FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the United States. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.

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:

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.

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.

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.

Jun 5, 2024 · FINRA is a non-governmental, self-regulatory organization that enforces various rules governing brokers and broker-dealer firms in the United States. FINRA has enforcement powers over the...

May 21, 2024 · 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...

FINRA Gateway is a web-based platform for managing registration, licensing, and compliance information for financial professionals.