The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization for the brokerage industry. Learn more about FINRA on their website at https://www.finra.org/about/what-we-do
The Financial Industry Regulatory Authority (FINRA) is a non-governmental organization that acts as a self-regulatory body for the securities industry, including brokerage firms and exchange markets. Although FINRA is not a government agency, it is authorized by Congress to protect America's investors by ensuring the securities industry operates fairly and honestly. It operates under the supervision of the Securities and Exchange Commission (SEC). In Colorado, as in all other states, broker-dealers and their agents must comply with both federal regulations, including those enforced by FINRA, and state securities laws, which are administered by the Colorado Division of Securities. FINRA's regulations require member firms and their registered representatives to adhere to various rules of conduct, including those related to advertising, trading, disclosure, and handling of customer accounts. It also provides arbitration and mediation services for resolving disputes between its members and their clients. Colorado investors and brokerage firms are subject to FINRA's oversight, and any broker-dealer operating in Colorado must be registered with both FINRA and the Colorado Division of Securities.