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Financial Industry Regulatory Authority

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FINRA is a self-regulatory organization responsible for supervising member broker-dealers under the oversight of the SEC[1].

Financial Industry Regulatory Authority
Basic information
Founded 2007
Legal Structure Public
Industry Financial Regulator
Also known as
Official website https://www.finra.org

FINRA online resources

  • file a complaint against brokerage firms[2]
  • Search for FINRA disciplinary actions[3]

References

  1. ↑ "FINRA" - finra.org (Archived)
  2. ↑ "FINRA complaints" - finra.org (Archived)
  3. ↑ "FINRA Disciplinary Actions Online" - finra.org (Archived)
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