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About FINRA
FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets.

Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence. 

  • every investor receives the basic protections they deserve;
  • anyone who sells a securities product has been tested, qualified and licensed;
  • every securities product advertisement used is truthful, and not misleading;
  • any securities product sold to an investor is suitable for that investor's needs; and
  • investors receive complete disclosure about the investment product before purchase.
     

We Play a Big Role 

FINRA is authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 634,000 brokers across the country—and analyze billions of daily market events.

We use innovative AI and machine learning technologies to keep a close eye on the market and provide essential support to investors, regulators, policymakers and other stakeholders.
 

Updates from the March Board of Governors Meeting
FINRA’s Board of Governors met on March 11, when it approved the allocation of 2019 fine monies, approved a proposal to assess fees for reporting transactions of U.S. Treasury securities to TRACE (subject to filing with the SEC), and more.

FINRA:
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