FINRA (Financial Industry Regulatory Authority) is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers. FINRA is not part of the government. This organization is a non-profit authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. FINRA’s regulation plays an important role in America’s financial system—by enforcing high ethical standards, bringing necessary resources and expertise to regulation and investor safeguards and market integrity at no cost to taxpayers.
Smart Screening, Intelligent Hiring, Proactive Alerts, Effective Compliance and Peace of Mind.