FINRA Readiness

FINRA Readiness signFinancial Industry Regulatory Authority (FINRA) is the largest self-regulatory organization in the securities industry. It is an independent, not-for-profit organization authorized by Congress to protect American investors by making sure the securities industry operates fairly and honestly.

FINRA is responsible for overseeing U.S. stockbrokers and brokerage firms and monitors billions of market transactions daily to detect potential abuses. All brokers in the United States must be licensed and registered by FINRA, pass qualification exams, and meet continuing education requirements.

FINRA’s Four Main Activities are:

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  • Formulating and enforcing rules that govern the activities of securities firms and brokers
  • Examining firms to ensure compliance with those rules
  • Fostering market transparency
  • Educating investors about products, services, and their rights

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