finra

Leadership


FINRA is the leading non-governmental regulator for all securities firms doing business with the U.S. public—about 4,100 firms employing nearly 640,430 registered representatives. Our chief role is to protect investors by maintaining the fairness of the U.S. capital markets.We carry it out by writing and enforcing rules, examining firms for compliance with the rules, informing and educating investors, helping firms pre-empt risk and stay in compliance, and providing trade reporting and other industry utilities.