FINRA

Overview

The Financial Industry Regulatory Authority (FINRA) is a private, self-regulatory organization established in 2007. It operates under the supervision of the U.S. Securities and Exchange Commission (SEC) and is the largest non-governmental regulator for securities firms in the United States. Its primary mission is to protect investors and ensure market integrity by regulating brokerage firms and their registered representatives.

FINRA oversees approximately 5,100 brokerage firms, 174,000 branch offices, and over 672,000 registered securities professionals. It develops and enforces rules to promote ethical practices, administers qualification exams, and provides investor tools like BrokerCheck. FINRA also offers arbitration and mediation for dispute resolution, along with educational resources to help investors avoid scams. Its customers include brokerage firms, registered securities representatives, investors, and regulatory bodies such as the SEC.

Basic Information

Contact Details

• Phone: +1 301-590-6500
• Website: finra.org
• LinkedIn: linkedin.com/company/finra

Key Focus Areas & Initiatives

• Regulatory compliance monitoring
• Market surveillance analytics
• Compliance enforcement
• Market monitoring technology
• Regulatory enforcement tools
• Investor education digital platforms
• Securities market oversight
• Dispute resolution AI systems
• Market risk assessment
• Dispute resolution services
• Regulatory data systems
• Regulatory reporting
• Market manipulation detection systems
• Market integrity systems
• Compliance systems
• Regulatory compliance systems
• Education
• Regulatory technology
• Investor protection programs
• Regulatory data management
• Dispute resolution
• Regulatory data visualization
• Market monitoring
• Dispute resolution forum
• Market transparency platforms
• Broker registration
• Financial industry oversight
• Compliance monitoring
• Market transparency
• Investor confidence
• SEC oversight
• Investor protection analytics
• Regulatory oversight
• Market transparency tools
• Regulatory system innovation
• Financial compliance
• FINRA enforcement actions
• Bond market monitoring technology
• Regulatory reporting tools
• Financial industry regulation
• Market integrity
• Market surveillance AI tools
• Regulatory oversight technology
• AI surveillance
• Enforcement actions
• Bond market transparency systems
• Financial market regulation
• Securities law enforcement
• Market transparency initiatives
• Regulatory data security
• Licensing and registration
• Portfolio management
• Investor education programs
• Regulatory enforcement mechanisms
• Self-regulatory organization
• Digital assets
• Regulatory data analysis
• Capital markets
• Regulatory compliance automation
• Investor education initiatives
• Regulatory framework
• Market manipulation detection
• Investor education resources
• Regulatory reporting automation
• Retirement planning
• Dispute resolution platforms
• Market manipulation detection AI
• Regulatory policy development
• Market risk assessment tools
• Regulatory policy
• Regulatory compliance
• Regulatory policies
• Broker-dealer regulation
• Regulatory oversight systems
• Compliance tools
• Securities and commodity contracts intermediation and brokerage
• Regulatory reporting platforms
• Investor education
• Market monitoring tools
• Member firms supervision
• Investor protection
• Advanced surveillance systems
• FINRA rules enforcement
• Regulatory rules
• Wealth management
• Regulatory data analytics
• Regulatory examinations
• Continuing education
• Disclosure and transparency tools
• Market surveillance
• Regulatory risk modeling
• Bond trading transparency
• Financial oversight
• Market integrity AI solutions
• Securities industry oversight
• Regulatory systems
• BrokerCheck tool
• Financial market analysis
• Regulatory rulemaking
• Dispute resolution mechanisms
• Market oversight
• Risk assessment
• Securities regulation
• Rule enforcement
• Market surveillance technology
• Regulatory enforcement
• Legal services
• AI and machine learning in market surveillance
• Bond trading oversight systems
• Market monitoring systems
• Securities dispute resolution
• Financial market integrity
• FINRA regulations
• Broker-dealer compliance
• Financial education
• Anti-money laundering
• Trading market surveillance
• Arbitration and mediation
• Investment products
• Certification exams
• Financial literacy
• Financial professionals
• Investing insights
• Registration systems
• Public awareness
• Financial fraud prevention
• Sector analysis
• Data analysis
• BrokerCheck service
• Cybersecurity compliance
• Risk monitoring
• Investor alerts
• Insurance products
• Mutual funds
• Private placements
• Fixed income securities
• Debt management
• Financial goal setting
• Investment strategies
• Smart investing
• Investment risk assessment
• Seniors fraud protection
• Financial calculators
• Credit score analysis
• Personal finance tools
• Asset allocation
• Fund management
• Compliance audits
• Finance
• Legal
• Conflict resolution
• Investment management
• Education management
• Nonprofit organization management
• Data analytics

Technologies Used

• AB Tasty
• Adobe Media Optimizer
• Amazon AWS
• Atlassian Cloud
• Bootstrap Framework
• Cedexis Radar
• CloudFlare CDN
• CloudFlare Hosting
• Cvent
• DoubleClick
• DoubleClick Conversion
• Drupal
• Facebook Custom Audiences
• Facebook Login (Connect)
• Facebook Widget
• Google Analytics
• Google Dynamic Remarketing
• Google Font API
• Google Tag Manager
• JQuery 1.11.1
• Linkedin Marketing Solutions
• Microsoft Office 365
• Mobile Friendly
• MongoDB
• New Relic
• Pardot
• Shutterstock
• SurveyMonkey
• Twitter Advertising
• Typekit
• UltraDns
• Varnish
• Vimeo
• Walkme
• WordPress.org
• Workday
• Workday Recruit
• reCAPTCHA

Affiliated Organizations & Regional Branches

• FINRA Investor Education Foundation