FINRA is one of the long arms of the law for the securities industry. It is a non-governmental regulatory authority that oversees U.S. broker-dealers. In addition, it is autorized by the congress to protect America's investors by making sure the broker-dealer industry operates fairly and honestly. FINRA oversee more than 624,000 brokers across the country and analyze billion dollors of market events. . FINRA was formed in 2007 from the consolidation of the National Association of Securities Dealers and certain regulatory and enforcement elements of the NYSE.
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- Year Started 1938
- Incorporated 1936
- FISCAL YEAR END DEC
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