FINRA

As a not-for-profit, self-regulatory organization with an 85-year history, the Financial Industry Regulatory Authority (FINRA) is dedicated to protecting investors and ensuring market integrity. FINRA regulates the U.S. securities industry by overseeing more than 3,250 member firms and their 625,000 registered representatives. Our mission is to promote investor protection while fostering compliance and transparency within the financial markets.

FINRA's approach is multifaceted, including rule making, supervision, and enforcement of regulatory standards. We empower our member firms by providing them with resources such as compliance templates, tools, and educational materials to help build robust practices that protect investors. Our programs also encourage good citizenship within the financial services industry, such as our efforts in detecting and addressing insider trading through our proactive regulatory initiatives. In addition, we actively engage with the public to enhance market understanding through investor education programs, offering services such as BrokerCheck, the Securities Helpline for Seniors, and comprehensive reports to inform the public about market trends and regulatory findings.