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Revision as of 23:15, 3 January 2012

Financial Industry Regulatory Authority (FINRA)

A resource for both individual investors and those who educate and advise them, FINRA provides research tools, advice for beginning and advanced investors, and protective information on rules and broker requirements.

"FINRA is the largest independent regulator for all securities firms doing business in the United States. We oversee nearly 4,490 brokerage firms, 163,640 branch offices and 635,405 registered securities representatives. Our chief role is to protect investors by maintaining the fairness of the U.S. capital markets.

"Mission Statement

"FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry."


"About the Financial Industry Regulatory Authority

"The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,490 brokerage firms, about 163,640 branch offices and approximately 635,405 registered securities representatives."

FINRA home