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.

 

 

 

 

Arbitration & Mediation

Learn about the largest dispute resolution forum in the securities industry. Access resources to help resolve business disputes between investors, brokerage firms and individual brokers.

BrokerCheck - Check the background of Brokers, Brokerage Firms, Investment Adviser Representatives and Investment Adviser Firms

 

FINRA is the largest independent regulator for all securities firms doing business in the United States. Our chief role is to protect investors by maintaining the fairness of the U.S. capital markets.