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 Tennessee, as in other states, brokerage firms, brokers, and investment advisers must comply with FINRA regulations in addition to state securities laws. FINRA oversees the activities of these entities by enforcing rules on ethical practices, licensing, operations, and financial transparency. It also provides education for investors, offers dispute resolution services, and conducts regulatory exams and investigations. Tennessee's securities professionals and firms must register with both FINRA and the Tennessee Securities Division to lawfully conduct business in the state.