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Financial Industry Regulatory Authority is a regulator of Security firms in US. It offers services to all security firms doing business in US under contract from New York Stock Exchange, NASDAQ stock Market,American Stock Exchange,International Security Exchange and also doing trade reporting, and other over the counter transactions
The Financial Industry Regulatory Authority (FINRA), is the largest independent regulator for all securities firms doing business in the United States.
FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.
FINRA regulation works to ensure that:
1) every investor receives the basic protections they deserve;
2) anyone who sells a securities product has been tested, qualified and licensed;
3) every securities product advertisement used is truthful, and not misleading;
4) any securities product sold to an investor is suitable for that investor's needs; and
5) investors receive complete disclosure about the investment product before purchase.
Agreed with Mr. Vinod.
FINRA is the 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. It is an independent, not-for-profit organization authorized by US Congress to protect America’s investors by making sure the securities industry operates fairly and honestly.
