FINRA is the Financial Industry Regulatory Authority.
FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.
FINRA is not part of the government. We’re an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly.
We do this by:
Our independent regulation plays a critical role in America’s financial system—by enforcing high ethical standards, bringing the necessary resources and expertise to regulation and enhancing investor safeguards and market integrity—all at no cost to taxpayers.
Every investor in America relies on one thing: fair financial markets. That's why FINRA works every day to ensure that:
In 2012, through our aggressive vigilance, we brought 1,541 disciplinary actions against registered brokers and firms. We levied more than $68 million in fines. And we ordered $34 million in restitution to harmed investors. We also referred 692 fraud and insider trading cases to the SEC and other agencies for litigation and/or prosecution.
Learn more about what we do to protect investors and ensure market integrity.
3,400 employees dedicated to market integrity and investor education
20 offices across the U.S.
692 fraud cases referred for prosecution in 2012
$102M in fines and restitution levied against fraudulent traders in 2012
6 billion share trades monitored every day
634,950 brokers under FINRA's supervision