On The Front Lines of Protecting Investors
To carry out our mission, FINRA monitors and examines for member firm compliance with FINRA rules, MSRB rules, and federal securities laws and rules, and works to detect and address possible fraud or other misconduct. We investigate possible misconduct and bring disciplinary actions for violations of industry rules and regulations. We coordinate closely with the SEC and other federal and state regulators.
We register and administer qualification examinations to securities industry personnel who conduct business with the investing public, and require them to achieve and maintain certification as members of FINRA. We operate a fair and efficient dispute resolution forum for investors, brokerage firms and their registered employees.
We provide BrokerCheck®, a free online tool that allows the investing public to research the background and experience of financial brokers, advisers and firms. We offer investors financial tools and resources through the FINRA Investor Education Foundation®.
Protecting investors—this is our core mission.