A vibrant market is at its best when it works for everyone | FINRA…
网页FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the United States. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
About FINRA
网页We oversee more than 624,000 brokers across the country—and analyze billions of daily market events. We use innovative AI and machine learning technologies to keep a close eye on the market and provide essential support to …
Registration, Exams and CE - FINRA.org
网页FINRA-certified brokers have registered and undergone stringent Qualification Exams. They are also required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained.
BrokerCheck - Find a broker, investment or financial advisor
网页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 FINRA? – Forbes Advisor
网页2024年5月21日 · The Financial Industry Regulatory Authority, also known as FINRA, helps protect investors by regulating brokers in the United States. It does this through rulemaking, enforcement, investigations...
Financial Industry Regulatory Authority - Wikipedia
网页The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets.
FINRA Gateway
网页FINRA Gateway, the new compliance portal, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.
What Is FINRA And What Does It Do? - Bankrate
网页2024年6月5日 · 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 the...
FINRA vs. the SEC: What's the Difference? - Investopedia
网页2022年8月23日 · The Financial Industry Regulatory Authority (FINRA) handles the licensing and regulation of broker-dealers. FINRA is a not-for-profit entity that is not part of the government.
Financial Industry Regulatory Authority (FINRA) Definition
网页2024年8月19日 · The Financial Industry Regulatory Authority (FINRA) is the single largest independent regulatory body for securities firms operating in the United States. It oversees almost 3,300...