Financial Industry Regulatory Authority

E3898

non-governmental organization securities regulator self-regulatory organization

The Financial Industry Regulatory Authority (FINRA) is a U.S. self-regulatory organization that oversees brokerage firms and their registered representatives to protect investors and maintain fair, orderly securities markets.

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Observed surface forms (1)

Surface form	Occurrences
FINRA	1

Statements (47)

Predicate	Object
instanceOf	non-governmental organization ⓘ securities regulator ⓘ self-regulatory organization ⓘ
abbreviation	Financial Industry Regulatory Authority self-linksurface differs ⓘ surface form: FINRA
administers	Series 63 exam ⓘ Series 65 exam ⓘ Series 66 exam ⓘ Series 7 exam ⓘ
conducts	examinations of member firms ⓘ market surveillance ⓘ
country	United States of America ⓘ surface form: United States
dateFormed	2007 ⓘ
enforces	federal securities laws for member firms ⓘ securities industry rules ⓘ
formedByMergerOf	National Association of Securities Dealers ⓘ New York Stock Exchange member regulation operations ⓘ
hasRole	front-line regulator for U.S. broker-dealers ⓘ
hasType	not-for-profit organization ⓘ
headquartersLocation	New York City ⓘ Washington, D.C. ⓘ
industry	securities industry regulation ⓘ
issues	rules for broker-dealers ⓘ
jurisdiction	U.S. securities industry ⓘ
legalStatus	self-regulatory organization under U.S. securities laws ⓘ
mandateFrom	U.S. Congress (indirectly through SEC oversight) ⓘ
offers	arbitration between investors and broker-dealers ⓘ dispute resolution services ⓘ mediation services in securities disputes ⓘ
operates	BrokerCheck ⓘ Central Registration Depository ⓘ FINRA Arbitration Forum ⓘ Trade Reporting and Compliance Engine ⓘ
overseenBy	Securities and Exchange Commission ⓘ surface form: U.S. Securities and Exchange Commission
provides	investor education ⓘ licensing examinations for securities professionals ⓘ
purpose	investor protection ⓘ maintain fair securities markets ⓘ maintain orderly securities markets ⓘ promote market integrity ⓘ
regulates	broker-dealers ⓘ brokerage firms ⓘ over-the-counter securities markets ⓘ registered representatives ⓘ securities professionals ⓘ
sector	financial regulation ⓘ
supervisingAuthority	Securities and Exchange Commission ⓘ surface form: U.S. Securities and Exchange Commission
website	https://www.finra.org ⓘ

Referenced by (22)

Full triples — surface form annotated when it differs from this entity's canonical label.

Financial Industry Regulatory Authority → abbreviation → Financial Industry Regulatory Authority self-linksurface differs ⓘ

this entity surface form: FINRA

Regulation Crowdfunding → administeredBy → Financial Industry Regulatory Authority ⓘ

Series 65 exam → administeredBy → Financial Industry Regulatory Authority ⓘ

Series 7 exam → administeredBy → Financial Industry Regulatory Authority ⓘ

Division of Enforcement → cooperatesWith → Financial Industry Regulatory Authority ⓘ

Division of Enforcement of the SEC → cooperatesWith → Financial Industry Regulatory Authority ⓘ

Securities and Exchange Commission → cooperatesWith → Financial Industry Regulatory Authority ⓘ

National Association of Securities Dealers → dissolvedInto → Financial Industry Regulatory Authority ⓘ

National Association of Securities Dealers → mergedInto → Financial Industry Regulatory Authority ⓘ

FINRA Arbitration Forum → operatedBy → Financial Industry Regulatory Authority ⓘ

BrokerCheck → operator → Financial Industry Regulatory Authority ⓘ

Central Registration Depository → operator → Financial Industry Regulatory Authority ⓘ

Trade Reporting and Compliance Engine → operator → Financial Industry Regulatory Authority ⓘ

FINRA Arbitration Forum → regulatedBy → Financial Industry Regulatory Authority ⓘ

United States federal securities markets → regulatingAuthority → Financial Industry Regulatory Authority ⓘ

Chicago Stock Exchange → regulator → Financial Industry Regulatory Authority ⓘ

E-Trade → regulator → Financial Industry Regulatory Authority ⓘ

Robinhood Markets → regulator → Financial Industry Regulatory Authority ⓘ

TD Ameritrade → regulator → Financial Industry Regulatory Authority ⓘ

Trade Reporting and Compliance Engine → regulator → Financial Industry Regulatory Authority ⓘ

United States federal securities markets → selfRegulatoryOrganization → Financial Industry Regulatory Authority ⓘ

National Association of Securities Dealers → successorOrganization → Financial Industry Regulatory Authority ⓘ