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Financial Industry Regulatory Authorities

Legal and Compliance

Financial Industry Regulatory Authorities refers to bodies that oversee and enforce rules governing securities firms and financial markets, with FINRA (Financial Industry Regulatory Authority) being the primary self-regulatory organization in the United States overseeing broker-dealers. These organizations license financial professionals, monitor trading practices, and investigate misconduct to protect investors. Professionals in brokerage and investment firms must pass FINRA-administered exams (like the Series 7) to be licensed.

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