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FINRA - Financial Industry Regulatory Authority
FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.
FINRA is not part of the government. We’re an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly.
We do this by:
- writing and enforcing rules governing the activities of more than 4,030 securities firms with approximately 638,320 brokers;
- examining firms for compliance with those rules;
- fostering market transparency; and
- educating investors.
Our independent regulation plays a critical role in America’s financial system—by enforcing high ethical standards, bringing the necessary resources and expertise to regulation and enhancing investor safeguards and market integrity—all at no cost to taxpayers.
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