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About FINRA
FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees U.S. broker-dealers, ensuring fair and honest securities markets. It writes and enforces rules, conducts compliance exams, and provides licensing exams for industry professionals[1][3]. FINRA's services include market regulation, arbitration, and investor education[3]. Its target audience includes investors, broker-dealers, and financial institutions[1][3]. The unique selling proposition is its role as a non-governmental regulator that protects investors while fostering market integrity, making it a crucial intermediary between the industry and regulatory bodies like the SEC[1][3].
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