General Info

Financial Industry Regulatory Authority (FINRA) is the regulator for all securities firms doing business in the United States. Based in New Orleans, La., the association oversees over 4,560 brokerage firms, 163,335 branch offices and 631,305 registered securities representatives. It renders an array of services, including examining securities firms, providing trade reporting and other industry utilities as well as administering dispute resolution forum for investors and registered firms. In addition, Financial Industry Regulatory Authority performs market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.