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 Wyoming, as in all other states, brokerage firms, brokers, and investment advisers must comply with FINRA regulations, in addition to state securities laws and federal regulations. FINRA oversees the activities of these entities by writing and enforcing rules, conducting examinations, and providing education and investor resources. It also administers dispute resolution services, such as arbitration and mediation, for investors and registered firms. Wyoming-based brokers and firms are required to register with FINRA, adhere to its rules, and may be subject to disciplinary actions by FINRA for violations.