For Industry Professionals

FINRA provides the first line of oversight for broker-dealers and, through its comprehensive regulatory programs, regulates both the firms and professionals that sell securities in the United States and the U.S. securities markets. FINRA oversees approximately 4,000 brokerage firms, 161,000 branch offices and 637,000 registered securities representatives.

FINRA touches virtually every aspect of the securities business – from registering industry participants to examining securities firms; writing rules and enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors, firms and individual brokers.

Learn more about FINRA.

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Regulation Updates