Other US Regulators

The U.S. and international financial systems are large and complex. At FINRA, we are responsible for overseeing but one part—the U.S. broker-dealer industry.

To ensure the protection of all investors throughout the U.S. and abroad, we regularly coordinate and refer matters to other financial industry regulators and consumer-protection organizations. Here is a look at some of those organizations and the resources they offer.

Federal Reserve

Municipal Securities Rulemaking Board (MSRB)

North American Securities Administrators Association (NASAA)

U.S. Department of the Treasury

U.S. Securities and Exchange Commission (SEC)

For a list of international organizations with which we collaborate, please visit this page.