About Finra
FINRA oversees U.S. broker-dealers to ensure fair and honest financial markets. It enforces rules and regulations that govern broker-dealer activities, protecting investors and maintaining market integrity. Individual investors can rely on FINRA for safeguarding their investments and resolving disputes, while brokerage firms seek regulatory guidance and compliance oversight. The organization operates the largest securities dispute resolution forum in the U.S., offering arbitration and mediation services to resolve conflicts between investors and brokers. Unlike other regulatory bodies, FINRA generates revenue through fees from member firms, which are reinvested to enhance its regulatory capabilities. Additionally, FINRA provides educational resources and a Securities Helpline for Seniors to assist older investors. The goal of FINRA is to maintain the integrity of the financial markets, ensuring they operate fairly and transparently for all participants.