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- A vibrant market is at its best when it works for everyone | FINRA. org
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
- Understanding FINRA: Rules, Oversight, and Investor Protection
FINRA governs U S brokers and broker-dealers, ensuring investor protection and rule enforcement Learn about its oversight role and the benefits to investors
- About FINRA
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
- FINRA Publishes 2026 Regulatory Oversight Report to Empower Member Firm . . .
WASHINGTON, December 09, 2025--FINRA published today the 2026 FINRA Regulatory Oversight Report, a vital resource that draws insights from FINRA’s regulatory operations programs that member
- BrokerCheck - Find a broker, investment or financial advisor
Who is FINRA? 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 by making sure the securities industry operates fairly and honestly
- What Is the Financial Industry Regulatory Authority (FINRA)?
FINRA oversees brokers' and dealers' behavior in the securities market It protects investors against fraudulent acts by setting rules and regulations, imposing disciplinary actions for offenders, and ensuring agency compliance among members
- FINRA flags GenAI, cyber fraud, and sales practices in 2026 regulatory . . .
FINRA has placed generative AI and cyber-enabled fraud high on its 2026 regulatory agenda, warning broker-dealers and RIAs that emerging technology and long‑standing compliance gaps are
- Registration, Exams and CE - FINRA. org
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 supports the licensing and registration filing requirements of the U S securities industry and its regulators
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