EXPLORE THIS SECTION
FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets.
FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets.
Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is a not-for-profit organization that oversees U.S. broker-dealers.We work every day to ensure that everyone can participate in the market with confidence, and to ensure that
- every investor receives thebasic protectionsthey deserve;
- anyone who sells a securities product has beentested, qualified and licensed;
- every securities product advertisem*nt used istruthful, and not misleading;
- any securities product sold to an investor are in the investor's best interest.
We Play a Big Role
FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. 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.
Updates from the March 2024 Board of Governors Meeting
During its March meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
FINRA:
Our Story
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.
Who We Are
