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 * For Industry Professionals
   * Oversight
   * Rules & Guidance
   * Registration & Qualification
   * Regulatory Filing & Reporting
   * Education & Training
   * Key Topics
   * Get Involved
 * For Investors
   * Prepare to Invest
   * Products & Professionals
   * Protect Your Money
   * Have a Problem?
   * Tools & Calculators
   * I Want To...
 * Arbitration and Mediation
   * Overview
   * Learn About Arbitration
   * Learn About Mediation
   * Initiate an Arbitration or Mediation
   * Information for Arbitrators
   * Information for Mediators

 * About FINRA
 * Newsroom
 * Compliance Tools
 * Contact
 * Firm Gateway

 * A FEW MINUTES WITH FINRA
   
   
   
   Qualifications & Exams staff discusses
   the FINRA exam restructuring initiative
   
   Learn More
   
   

 * CAPITAL MARKET INSIGHTS
   
   
   
   A conversation with SEC
   Chairman Jay Clayton
   
   Learn More
   
   

 * FINRA BOARD OF GOVERNORS
   
   
   
   Board approves rule proposals, reviews draft of Annual Financial Report
   
   Learn More
   
   

 * FINRA360 PROGRESS REPORT
   
   
   
   First year of organizational review leads to changes in operations,
   regulatory policy and engagement
   
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For Industry Professionals
For Investors

FINRA--the Financial Industry Regulatory Authority--is an independent,
non-governmental regulator for all securities firms doing business with the
public in the United States. Our mission is to protect invstors by regulating
brokers and brokerage firms and monitoring trading on U.S. stock markets.

CHECK THE BACKGROUND OF AN INVESTMENT PROFESSIONAL.


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FOR INDUSTRY PROFESSIONALS

Access the information, training and other resources you need to comply with
FINRA rules and regulations.
Oversight
Rules and Guidance
Registration and Qualification
Regulatory Filing and Reporting
Education and Training
Key Topics


FOR SMALL FIRMS

FINRA provides tools, templates, and other resources for firms with 150 or fewer
registered representatives. 

FINRA has also established the Small Firm Advisory Committee (SFAC) to advise
FINRA leadership and the Board of Governors.

More for Small Firms


FOR INVESTORS

Learn how to invest, build your financial knowledge and protect your investments
from fraud.
Prepare to Invest
Products & Professionals
Protect Your Money
Have a Problem?
Tools and Calculators


MARKET DATA CENTER





BOARD OF GOVERNORS MEETING

Updates: May 2018 FINRA Board of Governors Meeting

Learn More


WHAT'S NEW

 * Rule Filing
   SR-FINRA-2018-024
   Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
   June 7, 2018
 * Investor Education
   This Hurricane Season Take Shelter from Disaster-Related Financial Fraud
   June 7, 2018
 * News Release
   FINRA Foundation Expands Efforts to Increase Financial Capability in
   Communities Nationwide
   June 7, 2018

View More of What's New


ARBITRATION & MEDIATION

FINRA administers a dispute resolution forum for investors, brokerage firms, and
their registered employees in the U.S. through its network of 71 hearing
locations, including at least one in each state and Puerto Rico.

More About Arbitration & Mediation
Securities Helpline for Seniors®
844-574-3577 (M to F 9-5 ET)

Investor Complaint Center
File a complaint about fraud or unfair practices.

Whistleblower Tip-Line
866-96-FINRA or whistleblower@finra.org

Small Firm Helpline
833-26-FINRA (833-263-4672) (M to F 9-5 ET)

Office of the Ombudsman
Report a concern about FINRA.

File a Regulatory Tip
To report on abuse or fraud in the industry.

Contact FINRA
(301) 590-6500


INDUSTRY PROFESSIONALS

 * Oversight
 * Rules & Guidance
 * Registration & Qualification
 * Regulatory Filing & Reporting
 * Education & Training
 * Key Topics


ARBITRATION & MEDIATION

 * Overview
 * Initiate an Arbitration or Mediation
 * Information for Arbitrators
 * Information for Mediators


INVESTORS

 * Prepare to Invest
 * Products & Professionals
 * Protect Your Money
 * Have a Problem?
 * Tools & Calculators
 * I Want To...
 * Investor Alerts
 * SaveAndInvest.org
 * FINRA Foundation


ABOUT FINRA

 * FINRA360
 * Governance
 * Careers
 * Locations
 * Contact


NEWSROOM

 * News Releases
 * Speeches & Testimony
 * Statistics & Data
 * In the Media
 * Social Media


CAREERS

 * Current Opportunities
 * Internships
 * Working at FINRA

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Financial Industry Regulatory Authority, Inc.