Financial Industry Regulatory Authority (FINRA)

The Financial Industry Regulatory Authority (FINRA) is a non-governmental organization authorized by the U.S. Securities and Exchange Commission (SEC) to regulate and oversee brokerage firms and professionals in the United States. It establishes and enforces rules and standards, registers and educates brokers, conducts market surveillance, and provides dispute resolution services for investor complaints. FINRA's mission is to protect investors, ensure market integrity, and promote fair and transparent practices within the securities industry.

Investment Banking