The Financial Industry Regulatory Authority (FINRA) is the US organisation that regulates member brokerage firms and exchange markets. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. FINRA is the largest independent regulator for all securities firms doing business in the United States. FINRA is regulated by is the Securities and Exchange Commission (SEC), which acts as the ultimate regulator of the securities industry in the United States.
Modified on: Wed, 3 Oct, 2018 at 3:27 PM
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