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FINRA

FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers.

FINRA is not part of the government. We’re a not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly.

We do this by:

  • writing and enforcing rules governing the activities of 3,700 broker-dealers with 630,000 brokers;
  • examining firms for compliance with those rules;
  • fostering market transparency; and
  • educating investors.

Our regulation plays a critical role in America’s financial system—by enforcing high ethical standards, bringing the necessary resources and expertise to regulation and enhancing investor safeguards and market integrity—all at no cost to taxpayers.

FINRA Primary Logo

Current Offers from FINRA

FINRA Fellowship Program

Military spouses are eligble to apply for Accredited Financial Counselor® (AFC) certification through AFCPE® courtesy the FINRA Fellowship Program


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