The Financial Industry Regulatory Authority, FINRA, is an independent regulator for all securities firms doing business in the United States. FINRA licenses individuals and admits firms to the securities industry, writes rules to govern their behavior, examines them for regulatory compliance, and is authorized by the U.S. Securities and Exchange Commission (SEC) to discipline registered representatives and member firms that fail to comply with federal securities laws and FINRA’s rules and regulations. It provides education and qualification examinations to industry professionals. FINRA’s mission is to protect investors by making sure the United States securities industry operates fairly and honestly.
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