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Report / Study

2025 Industry Snapshot

FINRA is a private, not-for-profit membership organization that is responsible under federal law for supervising our member firms. FINRA regulates a critical part of the securities industry—member brokerage firms doing business in the United States. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of our work.
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Member Firm Hub

New FINRA Initiatives to Support Members, Markets, and the Investors They Serve

By Robert Cook, President and CEO, FINRA. To serve its mission—promoting investor protection, market integrity, and vibrant capital markets—FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient. During my time as CEO, we have worked hard to build a culture of continuous improvement across FINRA—and we have come a long way, including by restructuring departments, building new technology capabilities, improving coordination across different functions, enhancing transparency, and identifying ways to be more risk-focused.
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Events & Training

2025 Small Firm Conference

The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
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See What's New

How FINRA Serves Investors and Members

As a not-for-profit, self-regulatory organization with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways.

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Exposing Insider Risk

FINRA’s Insider Trading Detection Program is designed to provide U.S. law enforcement and regulators worldwide with actionable intelligence about potential insider trading that occurs on the U.S. markets. The intelligence we provide—over 450 referrals in 2023 alone—routinely result in criminal and civil action.

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FINRA’s Crypto Hub

The Crypto Hub is a FINRA-wide effort to ensure we are prepared to fulfill our regulatory mission regarding the crypto asset-related activities of member firms and associated persons. The Hub serves as a nerve center to manage FINRA’s regulatory work related to crypto assets.

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Announcements

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Requests for Comments
FINRA Extends Comment Periods for Rule Modernization Notices 25-04, 25-06 and 25-07.
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@FINRAOfficial
Follow FINRA on Instagram
Follow FINRA's new Instagram page at @FINRAOfficial to find investor-focused content designed to help the everyday investor up their investing know-how.
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Investor Insights
Know the Risks of Auto-Trading Services Offered by Unregistered Entities
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Investor Insights
National Study by FINRA Foundation Finds More U.S. Households Struggling Financially Despite Stable Incomes
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Regulatory Notice
FINRA Adopts Exemption From FINRA Rules 5130 and 5131 for Business Development Companies
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2020068810001 Jimmy J. Galindo CRD 2922619 AWC lp (2024-1706833192399).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068810001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jimmy J. Galindo (Respondent) General Securities Representative CRD No. 2922619 Pursuant to FINRA Rule 9216, Respondent Jimmy J. Galindo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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