The mission of Regulatory Economics and Market Analysis (REMA) is to elevate FINRA’s ability to make sound regulatory and policy decisions and foster innovation in regulation through best-in-class research and analysis.
For more than two centuries, the securities industry in the United States has been governed by private arrangements to regulate business conduct—membership organizations that set rules for their members, and then hold members accountable if they break the rules.The earliest such “self-regulatory organizations”—or SROs—date to the 1790s, when groups of traders in New York and Philadelphia agreed
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to add IntelligentCross ATS (“IntelligentCross”) as a new entrant to the Alternative Display Facility (“ADF”).
.darkblue-inline-border {
border-inline-start: 5px solid #233E66;
padding-left: 20px;
margin: 30px;
}
FINRA is a not-for-profit, self-regulatory organization dedicated to investor protection and market integrity. Learn how our structure and operations safeguard investors.Regulatory OperationsProtecting investors and safeguarding markets requires constant vigilance
.text-heading-primary {
color: #233E66;
font-size: 18px;
font-weight: 600;
text-transform: uppercase;
margin-top: 20px;
}
a.link-blue {
color: #0070B7;
font-size: 13px;
font-weight: bold;
line-height: 1.1;
text-transform: uppercase;
}
.light-grey-background {
background-color: #F2F4F6
FINRA is committed to protecting investors and ensuring fair and honest financial markets nationwide. We have a presence in 19 locations across the country, allowing us to connect with investors and firms at the local level.Use the following list to find a FINRA office near you. Our local representatives are here to answer your questions and provide resources to help you navigate the financial
If you have any issues or questions, please reach out to us.
.about-box-small {
border-inline-start: 5px solid #0070B7;
background-color: #F2F4F6;
padding: 20px;
margin: 0 20px 20px 0px;
}
div.about-box-small a:hover,
div.about-box-small:hover {
background-color: #cbcccd;
cursor: pointer;
}
FINRA Regulates Broker-Dealers, Capital Acquisition Brokers and Funding Portals. A Broker-Dealer is
div.accordion {
summary.accordion-summary {
font-size: 18px;
cursor: pointer;
background-color: #F3F5F5;
padding: 20px;
}
details.accordion-details p {
padding: 20px 30px 0px 30px;
font-size: 16px;
border: 30px;
}
summary.accordion-summary:focus,
summary.
div.about-box {
border-inline-start: 5px solid #0070B7;
background-color: #F2F4F6;
padding: 20px;
margin: 0 20px 20px 0px;
a {
color: #0070B7;
font-size: 13px;
margin-bottom: 1.5em;
font-weight: bold;
line-height: 1.1;
text-transform: uppercase;
}
}
div.about-link