About FINRA

FINRA is a not-for-profit organization authorized by Congress that is dedicated to protecting investors and ensuring market integrity. It regulates one critical part of the securities industry—member brokerage firms doing business in the U.S.

FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. FINRA oversees more than 624,000 brokers across the country—and analyzes billions of daily market events.

FINRA endeavors to protect investors and safeguard the integrity of the U.S. capital markets to ensure that everyone can invest with confidence.

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