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About FINRA 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 industry governors and public governors, and our operations are funded by member fees, not taxpayer dollars
What Is a FINRA License and How Do You Get One? The Financial Industry Regulatory Authority, or FINRA, serves as the primary self-regulatory organization (SRO) overseeing the conduct of broker-dealer firms and their associated persons in the U S securities market This private-sector regulator is authorized by Congress to protect investors by ensuring the securities industry operates fairly and honestly While the term “FINRA license
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
BrokerCheck - Find a broker, investment or financial advisor 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