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

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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