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Financial Industry Regulatory Authority

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Revision as of 14:34, 25 January 2026 by Bythmusters (talk | contribs) (Copied info from infobox to cargo)
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

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

References

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