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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 Oklahoma. 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 Oklahoma, as in other states, brokerage firms and their agents must be registered with FINRA to conduct business. FINRA also administers dispute resolution services, such as arbitration and mediation, for investors and registered firms. It is important for investors and professionals in the financial industry to understand FINRA's role and regulations to ensure compliance and to utilize the resources and protections it offers.

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FINRA

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