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 SRO, such as by …

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.

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) and certain …

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 …

FINRA, the self-regulator of broker-dealers, protects investors, promotes capital formation and safeguards the markets – all at no cost to American taxpayers.

Financial Industry Regulatory Authority (FINRA) The Financial Industry Regulatory Authority, a self-regulatory organization for the brokerage industry.

On December 9, 2025, the Financial Industry Regulatory Authority (FINRA) released both its: 1. 2026 FINRA Annual Regulatory Oversight Report (the “Report”), and 2. A companion FINRA Unscripted ...

FINRA, which stands for Financial Industry Regulatory Authority, is a not-for-profit self-regulatory organization that is subject to oversight by Congress and the Securities and Exchange Commission …

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 of …