Author Topic: FINRA is an independent regulatory organization to protect investors  (Read 2349 times)

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Software Santa

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FINRA is an independent regulatory organization to protect investors

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Get to Know Us
FINRA is an independent regulatory organization empowered by the federal government to ensure that America's 90 million investors are protected.

It's our job to ensure that brokers and securities firms play by the rules.
We do this by:
Conducting routine examinations of registered brokers and securities firms.
Investigating brokers and securities firms against whom complaints have been made.
Fining, barring or suspending brokers who violate the rules.
Returning money to harmed investors.

An informed investor is a safer and more confident investor.

We help by:
Providing free, unbiased educational resources and tools to help investors evaluate products and professionals.
Keeping investors up to date on potential investment scams and actions taken against dishonest brokers.
Hosting investor education forums, where top experts explain where investors can turn for unbiased resources and tools.
« Last Edit: November 22, 2010, 10:22:08 PM by Software Santa »


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