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 in the United States, including in the state of Indiana. FINRA is authorized by Congress to protect America's 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's duties include the registration and education of brokers, examination of securities firms, the writing of rules, enforcement of federal securities laws as well as its own rules, and the arbitration and mediation of disputes. While FINRA operates at a national level, its regulations and the compliance of brokerage firms and brokers in Indiana are subject to its oversight. For specific applications of FINRA's regulations in Indiana, individuals and firms are advised to consult with an attorney who specializes in securities law.