Our Mission

We’re one team with one mission.

Our mission is clear—to provide investor protection and promote market integrity— and our effectiveness is crucial to the health of the capital markets. FINRA touches virtually every aspect of the U.S. securities business, including:

  • writing rules, examining securities firms to ensure that they’re adhering to those rules and, when necessary, taking action against brokers or firms that don’t comply;
  • registering securities firms, brokers and mutual fund corporations;
  • informing and educating the investing public;
  • providing real-time transaction and price data for corporate bond trades—thus bringing transparency to the market; and
  • administering the largest forum specifically designed to resolve securities related disputes.

To accomplish this each day, we are committed to recruiting, and retaining, the very best employees. And while our professional backgrounds may vary—ranging from law and finance to technology, accounting and administration—we all share a strong dedication to FINRA’s mission.