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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 New Hampshire (NH). 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 jurisdiction covers brokerage firms and registered securities representatives, and it operates under the oversight of the U.S. Securities and Exchange Commission (SEC). In NH, as in other states, FINRA oversees the examination, licensing, and regulation of broker-dealer firms and their registered representatives, handles customer complaints and arbitration disputes, and conducts market regulation by contract for various stock markets and exchanges. While FINRA is a national organization, its regulations and enforcement actions apply to member firms within NH, ensuring compliance with both federal and its own industry standards.

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