The Financial Industry Regulatory Authority or FINRA, is the largest independent regulator for securities firms doing business in the United States. The Financial Industry Regulatory Authority or FINRA regulates some 4,750 securities brokerage firms, 167,000 securities branch offices and nearly 633,500 registered securities representatives.
The Financial Industry Regulatory Authority or FINRA was created in July of 2007 through the consolidation of the NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange (NYSE).
The Financial Industry Regulatory Authority (FINRA) has approximately 2,800 employees and operates in Washington, DC, and New York, NY, with 15 District Offices around the country.
FINRA administers the largest dispute resolution, arbitration and mediation forum for investors and registered securities firms. FINRA also registers and educates securities industry participants, examines securities firms; writes rules; enforces those rules and federal securities laws; informs and educates the investing public; provides trade reporting. FINRA also performs market regulation for NASDAQ Stock Market, the American Stock Exchange, the International Securities Exchange, among others.
If You Lost Money In Your Investment, Retirement Or Brokerage Account, You May Be Entitled To Recover Your Investment Losses.
-Recover Investment Losses. Contact A Securities Lawyer-
