fInra

For
Investors

A vibrant market is at its best when it works for EVERYONE.

Create Opportunity
Together

FINRA provides confidence to participate by safeguarding market integrity

We understand that flexible access to high-value data and analyses is a critical need for investors, member firms and markets

Working under the supervision of the Securities and Exchange Commission-
Here's What We Do:

  • We write and enforce rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S.

  • Examine firms for compliance with those rules

  • Foster market transparency

  • Educate investors.

FINRA plays a critical role in ensuring the integrity of America’s financial system.
All while providing the solid price of FREE to ALL taxpayers.

We undertake these efforts to protect the investing public against fraud and bad practices. Consider the case of the 77-year-old blind widow, who was victimized just a few weeks after her husband passed away. She had completely relied on her broker to manage her accounts, given her own severely debilitated condition---but her broker took advantage of her. The broker placed more than 700 trades in more than 200 different securities, causing the blind widow to lose about $184,000.FINRA stepped in to make things right. We charged the broker with securities fraud for churning the widow’s account and for excessive and unsuitable trading in her account. We were glad to make a difference in this woman’s life.

FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers.We are a not-for-profit organization that – working under the supervision of the SEC – actively engages with and provides essential tools for investors, member firms and policymakers. Because of these deep relationships and together with our stakeholders, we work towards finding common solutions to create a regulatory environment that promotes collaboration, innovation, and fairness. We do this so that investors are safe, while having the opportunity to participate in America’s capital markets.