About
FINRA is the Financial Industry Regulatory Authority. We're an independent regulatory organization empowered by the federal government to ensure that America's 90 million investors are protected.
It's our job to ensure that brokers and securities firms play by the rules. We do this by conducting routine examinations of registered brokers and securities firmsāand investigating brokers and securities firms against whom complaints have been made. If we find that brokers have violated the rules, we can fine, suspend or even bar them from the industry. Last year, we returned more than $1 billion to harmed investors.
Another key part of our mission is to educate investors. An informed investor is a safer and more confident investorāand we're committed to keeping investors up to date on potential investment scams and actions taken against dishonest brokers. Our Web site offers unbiased educational resources and tools to help investors evaluate investment products and professionals.
FINRA is the Financial Industry Regulatory Authority. We're an independent regulatory organization empowered by the federal government to ensure that America's 90 million investors are protected.
It's our job to ensure that brokers and securities firms play by the rules. We do this by conducting routine examinations of registered brokers and securities firmsāand investigating brokers and securities firms against whom complaints have been made. If we find that brokers have violated the rules, we can fine, suspend or even bar them from the industry. Last year, we returned more than $1 billion to harmed investors.
Another key part of our mission is to educate investors. An informed investor is a safer and more confident investorāand we're committed to keeping investors up to date on potential investment scams and actions taken against dishonest brokers. Our Web site offers unbiased educational resources and tools to help investors evaluate investment products and professionals.