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 Ohio, as in other states, brokerage firms, brokers, and investment advisers must comply with FINRA's rules and regulations, as well as state securities laws and regulations enforced by the Ohio Division of Securities. FINRA oversees the activities of these entities by administering exams, licensing individuals, writing rules, enforcing those rules and the federal securities laws, and informing and educating the investing public. Any broker or brokerage firm operating in Ohio must be registered with FINRA, adhere to its standards, and is subject to its disciplinary actions in addition to any action taken by state regulators.