Financial Industry Regulatory Authority (FINRA)

The Financial Industry Regulatory Authority (FINRA) is a non-profit organization that regulates the securities industry in the United States. It was created in 2007 as a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act. FINRA is responsible for overseeing the activities of securities firms, broker-dealers, investment advisers, and other financial professionals. It also provides investor education and protection.

FINRA has a number of responsibilities, including:

* Licensing and registering securities firms, broker-dealers, and investment advisers.
* Setting standards for the conduct of securities firms, broker-dealers, and investment advisers.
* Investigating and enforcing violations of the securities laws.
* Providing investor education and protection.

FINRA is funded by fees paid by the securities firms, broker-dealers, and investment advisers that it regulates.

FINRA is headquartered in New York City. It has offices in all 50 states and the District of Columbia.

FINRA is a self-regulatory organization (SRO). This means that it is responsible for regulating the industry that it represents. SROs are created by Congress and are subject to oversight by the Securities and Exchange Commission (SEC).

FINRA is one of the largest SROs in the world. It regulates over 17,000 securities firms, broker-dealers, and investment advisers. FINRA also oversees over $30 trillion in assets.

FINRA plays an important role in protecting investors. It investigates and enforces violations of the securities laws. It also provides investor education and protection. FINRA's work helps to ensure that the securities industry is fair, transparent, and efficient.

FINRA is a valuable resource for investors. It offers a variety of resources to help investors understand the securities markets and make informed investment decisions. These resources include:

* Investor education materials
* Online tools and calculators
* A complaint process

FINRA is committed to protecting investors. It works hard to ensure that the securities industry is fair, transparent, and efficient. FINRA's work helps to protect investors and promote confidence in the securities markets.