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MEDIA CENTER

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Report / Study

2022 Report on FINRA’s Examination and Risk Monitoring Program
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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

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The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
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A Reflection on the Research Brief: Financial Education Matters
On the Front Lines of Investor Protection
Encore | FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families
Fostering Engagement
FINRA Seeks Advisory Committee Members
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FINRA Extended Hearing Panel Expels Alpine Securities; Orders Alpine to Pay $2.3 Million in Restitution to Customers
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Fraud Stoppers: FINRA’s Market Investigations Team
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FINRA Issues Reminder About the Scope of Chief Compliance Officer Supervisory Liability
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Report From FINRA Board of Governors Meeting – March 2022
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Report on FINRA’s Examination and Risk Monitoring Program | A Comprehensive Reference Item for Firms
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On the Front Lines of Investor Protection
FINRA Hires Firm to Conduct Independent Review of Arbitrator Selection Process

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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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