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Buildings

Creating Opportunity Together

FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers.

We are a not-for-profit organization that – working under the supervision of the SEC – actively engages with and provides essential tools for investors, member firms and policymakers. Because of these deep relationships and together with our stakeholders, we work towards finding common solutions to create a regulatory environment that promotes collaboration, innovation, and fairness. We do this so that investors are safe, while having the opportunity to participate in America’s capital markets.

BrokerCheck is a free tool to research the background and experience of financial brokers, advisers and firms.

By clicking on a match or otherwise using BrokerCheck® I agree to BrokerCheck® Terms of Use.

interconnected

Adapting and Innovating through Times of Change

Markets are changing.  Every day, technology is bringing new opportunities and more services to customers. Regulators must adapt or be left behind.

At FINRA, we are powered by innovation.  We are industry leaders in cloud technology adaptation, and we monitor billions of market transactions every day.  We embrace new ideas because we know that a vibrant market depends on constant change. 

 
 


market events processed since this page was loaded.*


 

*Based on FINRA processing an average of 67 billion electronic records per day.