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.

Regulation and licensure functions FINRA regulates trading in equities, corporate bonds, securities futures, and options. All firms dealing in securities that are not regulated by another …

FINRA is a private not-for-profit membership organization that is responsible under federal law for supervising our member firms. FINRA’s Board of Governors, our governing body, is comprised …

Nov 2, 2025 · FINRA governs U.S. brokers and broker-dealers, ensuring investor protection and rule enforcement. Learn about its oversight role and the benefits to investors.

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 …

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 …

The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization established in 2007 through the consolidation of the National Association of Securities Dealers (NASD) …

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 …

Nov 15, 2024 · FINRA oversees and regulates brokerage firms, stock brokers and exchange markets. As a private, non-profit agency, it mandates how investors and securities participants …

Firms and individuals must be registered with FINRA to conduct securities business with the investing public. FINRA operates the Central Registration Depository program (CRD), that …