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MEDIA CENTER

MEDIA CENTER

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Report / Study

2021 Report on FINRA’s Examination and Risk Monitoring Program
Featured

News Release

New FINRA Report: Diversity of Cloud Computing Models Among Broker-Dealers Raises Opportunities and Challenges for the Securities Industry

Diversity & Inclusion Report – 2020 Year in Review

Report / Study

Diversity & Inclusion Report - 2020 Year in Review

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Speech / Testimony

Statement Before the Financial Services Committee U.S. House of Representatives

Latest Posts

On the Front Lines of Investor Protection
Testimony Before the Senate Special Committee on Aging
On the Front Lines of Investor Protection
Encore | At, By or Through: Fraud in the Broker-Dealer Industry
On the Front Lines of Investor Protection
FINRA Announces Final Results of Targeted Examination of Unit Investment Trust Early Rollovers
On the Front Lines of Investor Protection
FINRA Appoints Bill St. Louis Executive Vice President of National Cause and Financial Crimes Detection Program
On the Front Lines of Investor Protection
2021 Small Firm Conference: A Fireside Chat with Robert Cook and Greg Ruppert
On the Front Lines of Investor Protection
FINRA Orders Aegis Capital Corp. to Pay $1.7 Million in Restitution to Customers Whose Accounts Were Excessively and Unsuitably Traded; Two Supervisors Fined, Suspended for Failing to Respond to Red Flags; Representatives Sanctioned
On the Front Lines of Investor Protection
FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families
Facilitating Compliance
Encore | Overlapping Risks: Anti-Money Laundering and Cybersecurity
On the Front Lines of Investor Protection
New Research: Racial And Ethnic Disparities Persist Among American Households Who Own Taxable Investments
On the Front Lines of Investor Protection
2021 Ketchum Prize: Expanding Financial Capability in Native Communities
On the Front Lines of Investor Protection
FINRA Foundation Awards 2021 Ketchum Prize to Shawn Spruce
On the Front Lines of Investor Protection
FINRA, NASAA and SEC OIEA Urge Investors to Establish a Trusted Contact to Increase Investor Protection
On the Front Lines of Investor Protection
New Research Examines Why Some Consumers are More Vulnerable to Financial Scams
Facilitating Compliance
Single Points of Accountability: Navigating Firms’ Experiences with FINRA
Facilitating Compliance
SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
Our Values at Work
FINRA Announces Retirement of Executive Vice President of Member Supervision Bari Havlik; Greg Ruppert Appointed as Successor
Fostering Engagement
Make Your Voice Heard: FINRA's Regional Committees
Fostering Engagement
FINRA Announces Governor Elections and Appointments
Fostering Engagement
The Journey to the Cloud: Implications for the Securities Industry
Facilitating Compliance
New FINRA Report: Diversity of Cloud Computing Models Among Broker-Dealers Raises Opportunities and Challenges for the Securities Industry

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

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About FINRA

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.
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