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Financial Industry Regulatory Authority - FINRA

Resources in this category:
   Financial Industry Regulatory Authority
The "largest non-governmental regulator for all securities firms doing business in the United States" overseeing more than 5000 brokerage firms and their registered securities representatives.

FINRA was "created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange[.]

See the FINRA site map page, which also contains a sitewide search box, for specific content.


See also:
  • Securities Law
  • U.S. Securities and Exchange Commission
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