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Bookmark or Share- Rules & Guidance - FINRA.orgFINRA’s rules and guidance strive to protect investors and ensure the integrity of today’s rapidly evolving market. FINRA is here to help keep investors and their investments safe. To ensure this protection, we enact rules and publish guidance for securities firms and brokers.
- FINRA GatewayThat's why FINRA has launched the new FINRA Gateway. The new compliance portal, powered by FINRA's Digital Experience Transformation, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.
- Enforcement - FINRA.orgWe advance confidence in the securities markets through vigorous, fair and effective enforcement of FINRA and MSRB rules, and federal securities laws and rules. We act quickly to identify misconduct, stop fraud and prevent losses, obtain restitution for harmed investors and remove bad actors from FINRA membership.
- About FINRAFINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers across the country—and analyze billions of daily market events.
- A vibrant market is at its best when it works for everyone. | FINRA.orgLearn how the Financial Industry Regulatory Authority (FINRA) ensures a fair market with regulations, essential tools and resources for investors and pros. A vibrant market is at its best when it works for everyone. | FINRA.org
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