Industry Professionals >
Access the information, training and other resources you need to stay current and comply with FINRA rules and regulations.
Investors >
Learn about investing and how to build your financial knowledge. We offer articles, interactive tools, alerts and other resources that help you protect yourself.
FINRA is the largest independent regulator for all securities firms doing business in the United States. We oversee nearly 4,345 brokerage firms, 163,410 branch offices and 635,140 registered securities representatives. Our chief role is to protect investors by maintaining the fairness of the U.S. capital markets.
Arbitration & Mediation >
Learn about the largest dispute resolution forum in the securities industry. Access information and resources to assist in the resolution of business disputes between and among investors, brokerage firms and individual brokers.