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 under the supervision of the Securities and Exchange Commission (SEC) on a national level, its regulations and rules apply to all brokerage firms and registered brokers operating within the state of Georgia. FINRA's mandate includes the protection of investors by ensuring the securities industry operates fairly and honestly. It is responsible for writing and enforcing rules governing the activities of more than 3,700 securities firms with approximately 630,000 brokers. FINRA also examines firms for compliance with its rules, fosters market transparency, and educates investors. In Georgia, as in other states, brokerage firms must be members of FINRA to legally operate, and they are subject to FINRA's oversight, including arbitration and disciplinary actions.