FINRA

The primary activity of FINRA (Financial Industry Regulatory Authority) is the regulation of the securities industry in the United States. It is a not-for-profit, self-regulatory organization whose mission is to protect investors and ensure the integrity of the financial markets. FINRA develops and enforces rules that govern brokers and brokerage firms, monitors the markets to detect abuses (such as insider trading), and provides dispute resolution services (arbitration and mediation).

The main products and services offered by FINRA include :

• Surveillance and enforcement of financial market regulations.
• Compliance and reporting tools for member firms.
• Qualification exams and continuing education programs for industry professionals.
• Educational resources and tools for investors (for example, BrokerCheck to verify brokers’ histories).
• Dispute resolution services (arbitration and mediation).

FINRA primarily serves brokerage firms, finance professionals, individual and institutional investors, as well as regulatory bodies and public authorities.