Financial Industry Regulatory Authority (FINRA)

Glossary

Banking

Financial Industry Regulatory Authority (FINRA)

FINRA, the Financial Industry Regulatory Authority, is a US government-authorised self-regulatory agency for US broker-dealers and securities markets. Operating under the supervision of the Securities and Exchange Commission, its aim is to protect investors, maintain the transparency, integrity and fairness of US financial markets and support a vibrant capital markets ecosystem. FINRA is responsible for writing and enforcing the rules governing the ethical activities of US registered brokers and broker-dealers.

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