As a not-for-profit, self-regulatory organization with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways.

Regulation and licensure functions FINRA regulates trading in equities, corporate bonds, securities futures, and options. All firms dealing in securities that are not regulated by another …

Dec 9, 2025 · FINRA Forward is a series of initiatives to improve FINRA’s effectiveness and efficiency in pursuing its mission of protecting investors and safeguarding market integrity.

The FINRA Foundation’s National Financial Capability Study (NFCS) is a large-scale, multi-wave nationwide research study that examines the financial capability of adults in the United States …

To protect investors and ensure the market’s integrity, FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is a not-for-profit organization that oversees U.S. broker-dealers.

Advance your financial services career with FINRA exams through Prometric. Demonstrate your expertise in securities regulation. Schedule your exam today.

The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization established in 2007 through the consolidation of the National Association of Securities Dealers (NASD) …

Nov 2, 2025 · FINRA governs U.S. brokers and broker-dealers, ensuring investor protection and rule enforcement. Learn about its oversight role and the benefits to investors.

FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. We are authorized by Congress to protect America’s investors …

Who is FINRA? FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. We are authorized by Congress to protect …