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 …

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

Oct 13, 2025 · FINRA is a non-governmental organization that creates and enforces the rules regulating registered brokers and brokerage firms.

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 …

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, the Financial Industry Regulatory Authority, regulates all securities firms doing business in the United States. FINRA is dedicated to investor protection and market integrity.

1 day ago · FINRA’s Board of Governors held its first meeting this year on March 4-5. The Board approved five rule proposals, received an update on enhancements to FINRA...

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 …

1 day ago · FINRA has adopted a limited, temporary exception to its equity trade reporting rules for qualifying overnight transactions occurring before 8:00 a.m. ET, according to a regulatory notice …