Introducing FINRA Regulatory

The Financial Industry Regulatory Authority (FINRA) was created in July 2007 through the consolidation of the NASD and the member regulation enforcement & arbitration functions of the New York Stock Exchange (NYSE).

FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.

FINRA is the largest non-governmental regulator for all securities firms doing business in the United States, overseeing nearly 5,100 brokerage firms, about 174,000 branch offices and more than 672,000 registered securities representatives.

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