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. While FINRA is not specific to any state, as it operates nationwide, it is authorized by Congress to protect America's investors by ensuring the securities industry operates fairly and honestly. In Florida, as in other states, FINRA oversees the licensing of firms and their registered representatives, arbitration and mediation services, market regulation, and investor education. FINRA's regulations are designed to comply with the federal securities laws and are enforced alongside state securities laws, commonly known as 'Blue Sky Laws.' Florida's securities are also regulated by the Florida Office of Financial Regulation, which works in conjunction with FINRA to oversee financial activities in the state.