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MEDIA CENTER

MEDIA CENTER

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Report / Study

2022 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

Data Stream

Speech / Testimony

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

Latest Posts

Our Values at Work
Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit
Advancing Market Transparency and Regulation
TRACE, Market Research and Policy Making
On the Front Lines of Investor Protection
Statement of Gerri Walsh, President, FINRA Investor Education Foundation; and Senior Vice President, FINRA Investor Education Before the U.S. Senate Committee on Banking, Housing, and Urban Affairs
Our Values at Work
Financial Capability Study: Financial Wellbeing During a Global Pandemic
Leadership in Technology
FINRA’s Augmented Reality Web and Mobile App Featured
Fostering Engagement
National Study by FINRA Foundation Finds U.S. Adults’ Financial Capability Has Generally Grown Despite Pandemic Disruption
Leadership in Technology
Createathon – Our Innovation Pipeline
On the Front Lines of Investor Protection
FINRA Bars Two Individuals for Cheating on Online Qualification Exams
On the Front Lines of Investor Protection
FINRA Publishes Independent Counsel’s Report on Arbitrator Selection Process
On the Front Lines of Investor Protection
Regulation Best Interest and Form CRS: Two Years In
Advancing Market Transparency and Regulation
TRACE at 20 – Reflecting on Advances in Transparency in Fixed Income
Our Values at Work
Building a Better Future: FINRA’s Diversity, Equity & Inclusion Program
On the Front Lines of Investor Protection
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. to Pay $15.2 Million in Restitution
Facilitating Compliance
AML Update: The Latest Trends and Effective Practices
Fostering Engagement
FINRA Annual Conference: Fireside Chat with Eileen Murray
On the Front Lines of Investor Protection
FINRA Fines Wefunder $1.4 Million for Crowdfunding Rule Violations; StartEngine Capital Separately Fined $350,000
On the Front Lines of Investor Protection
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
Fostering Engagement
FINRA Publishes 2022 Industry Snapshot
On the Front Lines of Investor Protection
A Reflection on the Research Brief: Financial Education Matters
Our Values at Work
MAP Transformation: Streamlining FINRA's Gatekeeper Function

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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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