What does the Financial Industry Regulatory Authority do?
The Financial Industry Regulatory Authority (FINRA) is a not-for-profit organization authorized by Congress to ensure that US-based securities brokers and dealers comply with American securities laws and regulations regarding licensing, registration, and disclosure. FINRA is dedicated to protecting investors and safeguarding market integrity. FINRA also operates the largest securities dispute resolution forum in the United States, offering mediation and arbitration of disputes between and among investors, brokerage firms and brokers.
Who is registered with FINRA?
The Financial Industry Regulatory Authority requires that all securities brokers and dealers register with it prior to selling securities on the open market. FINRA keeps a publicly available list of all regulated firms and brokers on its website.
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