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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 Mexico (NM). 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 their employees, ensuring compliance with its rules and those of the Securities and Exchange Commission (SEC). While FINRA is a national organization, its regulations and the enforcement of those regulations apply to brokerage firms and brokers operating within New Mexico. Investors in New Mexico can utilize FINRA's resources for education, file complaints, and seek arbitration or mediation for disputes with brokers or brokerage firms. It's important to note that while FINRA has regulatory authority, it does not have the same powers as government regulatory agencies such as the SEC, and it operates under the oversight of the SEC.

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