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Frequently Asked Questions

What does FINRA stand for?

The Financial Industry Regulatory Authority (FINRA) is an independent, nongovernmental organization that writes and enforces the rules governing registered brokers and broker-dealer firms in the United States. Its stated mission is "to safeguard the investing public against fraud and bad practices."

What does FINRA have jurisdiction over?

FINRA has jurisdiction over all broker-dealers and registered representatives, and has authority to discipline firms and individuals who violate the rules. It regulates trading in stocks, mutual funds, variable annuities, corporate bonds, and futures and options contracts on securities. It also acts as the SRO for a number of securities exchanges.

Does FINRA have jurisdiction over me?

Essentially, FINRA's jurisdiction, if you will, has two components: jurisdiction over individuals, and jurisdiction over those individuals' activities. The first is pretty easy to understand: if you are registered, or even just associated, with a broker-dealer, FINRA has jurisdiction over you.

How many employees does FINRA have?

We invest in our people. With more than 3,000 employees nationwide, FINRA is committed to a diverse, high-performance workplace. We recognize that it’s the hard work and dedication of our team that makes FINRA the strong, successful organization it is. That’s why we offer a competitive compensation, benefits and services package.


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