FINRA is a not-for-profit organization that regulates the U.S. securities industry, overseeing more than 3,250 brokerage firms and over 625,000 registered representatives. With more than 3,600 employees and over 85 years in operation, it monitors billions of market events annually to protect investors and maintain fair, functioning capital markets.
The organisation operates BrokerCheck, a public service enabling investors to research the background and qualifications of brokers and brokerage firms. Its FINRA Forward initiative represents an ongoing effort to modernise oversight approaches, including adapting to emerging areas such as crypto assets and blockchain technology.
Based in the United States, FINRA's mandate spans the securities and capital markets sectors. Its stated mission centres on ensuring that everyone can invest with confidence, achieved through rule-writing, enforcement, and market surveillance across the brokerage industry.
