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.