Learn More About FINRA’s Regulatory Practices
FINRA, or the Financial Industry Regulatory Authority, it the largest independent regulator for all securities firms doing business in the United States. Established in July of 2007, it was created through the consolidation of the National Association of Securities Dealers (NASD) and the enforcement arm of the New York Stock Exchange (NYSE).
FINRA dedicates itself to investor protection and market integrity through regulation of broker-dealers. It is separate from government entities, as it is a non-profit organization that has been authorized by Congress to protect America’s investors.