When you choose to invest, you typically do so through a registered broker or broker-dealer that is licensed to trade stocks, bonds and other securities. These investment firms are highly regulated, ...

The Financial Industry Regulatory Authority, also known as FINRA, helps protect investors by regulating brokers in the United States. It does this through rulemaking, enforcement, investigations and ...

Financial Industry Regulatory Authority, or FINRA, is a self-regulatory organization authorized to regulate U.S. stockbrokers and broker-dealer firms. Brokers must be registered with FINRA in order to ...

FINRA's mission is protecting investors and ensuring the integrity of U.S. securities markets. Have you ever wondered who protects investors -- and how? If you invest, it can pay to know about FINRA, ...

Greg Ruppert, Chief Regulatory Operations Officer at the Financial Industry Regulatory Authority (FINRA), recently shared ...

FINRA's rules are intended to be technologically neutral. They apply when companies use GenAI or similar technologies in ...

BrokerCheck is an online tool provided by the Financial Industry Regulatory Authority (FINRA) that enables investors to research the professional backgrounds of brokers and brokerage firms. The ...

How hot is the NFT craze? It’s so hot that even Finra is trying to wrap its head around it. The Financial Industry Regulatory Authority — the non-government group that licenses broker dealers and ...

'Is there any point to which you would wish to draw my attention?' 'To the curious incident of the dog in the night-time.' 'The dog did nothing in the night-time.' 'That was the curious incident,' ...

Have you ever wondered who protects investors—and how? If you invest, it can pay to know about FINRA, the Financial Industry Regulatory Authority. FINRA is a not-for-profit organization authorized ...