Financial Industry Regulatory Authority: Difference between revisions
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|Website=https://www.finra.org | |Website=https://www.finra.org | ||
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'''[[Wikipedia:FINRA|FINRA]]''' is a self-regulatory organization responsible for supervising member broker-dealers under the oversight of the [[SEC]]<ref>[https://www.finra.org/about "FINRA"] - finra.org</ref>. | '''[[Wikipedia:FINRA|FINRA]]''' is a self-regulatory organization responsible for supervising member broker-dealers under the oversight of the [[SEC]]<ref>[https://www.finra.org/about "FINRA"] - finra.org ([http://web.archive.org/web/20260220095806/https://www.finra.org/about Archived])</ref>. | ||
FINRA online resources | FINRA online resources | ||
*file a complaint against brokerage firms<ref>[https://www.finra.org/investors/need-help/file-a-complaint "FINRA complaints"] - finra.org</ref> | *file a complaint against brokerage firms<ref>[https://www.finra.org/investors/need-help/file-a-complaint "FINRA complaints"] - finra.org ([http://web.archive.org/web/20260106093041/https://www.finra.org/investors/need-help/file-a-complaint Archived])</ref> | ||
*Search for FINRA disciplinary actions<ref>[https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions-online "FINRA Disciplinary Actions Online"] - finra.org</ref> | *Search for FINRA disciplinary actions<ref>[https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions-online "FINRA Disciplinary Actions Online"] - finra.org ([http://web.archive.org/web/20251203205140/https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions-online Archived])</ref> | ||
==References== | ==References== | ||
Revision as of 04:43, 23 February 2026
Financial Industry Regulatory Authority
| Basic information | |
|---|---|
| Founded | 2007 |
| Legal Structure | Public |
| Industry | Financial Regulator |
| Also known as | |
| Official website | https://www.finra.org |
FINRA is a self-regulatory organization responsible for supervising member broker-dealers under the oversight of the SEC[1].
FINRA online resources
References
- ↑ "FINRA" - finra.org (Archived)
- ↑ "FINRA complaints" - finra.org (Archived)
- ↑ "FINRA Disciplinary Actions Online" - finra.org (Archived)