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FINRA

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

FINRA Foundation 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.

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Current Offers from FINRA

FINRA Foundation Fellowship Program

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


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