FINRA

FINRA, the Financial Industry Regulatory Authority, is a not-for-profit organization dedicated to ensuring the integrity of U.S. financial markets. Operating under congressional authorization, FINRA plays a crucial role in protecting investors by overseeing more than 624,000 brokers nationwide. The organization is committed to promoting fair practices in the broker-dealer industry, ensuring that securities products are marketed truthfully and sold in the best interest of investors.

To achieve its mission, FINRA leverages advanced AI and machine learning technologies to monitor billions of market events, providing essential support to investors, regulators, and policymakers. In addition to oversight, FINRA offers a range of services, including a dispute resolution forum and resources for both industry professionals and the public. Their platforms, such as FINPRO for registered representatives and the DR Portal for case participants, facilitate compliance, education, and effective communication. With a focus on investor protection and transparency, FINRA empowers individuals to engage with financial markets confidently.