FINRA

The Financial Industry Regulatory Authority (FINRA) is a private, self-regulatory organization (SRO) with a mission to protect investors and safeguard market integrity in a manner that facilitates vibrant capital markets. Operating under the supervision of the U.S. Securities and Exchange Commission (SEC), FINRA was formed in 2007 through the consolidation of the regulatory functions of the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE). Its primary functions include writing and enforcing rules governing the activities of all registered broker-dealer firms and registered brokers in the U.S., examining firms for compliance, fostering market transparency, and providing investor education.