Updated: October 24 2019

Financial Industry Regulatory Authority

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 4,750 brokerage firms, about 167,000 branch offices and approximately 634,000 registered securities representatives.

Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.

Primary Address

Financial Industry Regulatory Authority
1735 K Street,
Washington, DC 20006
Phone: (301) 590-6500
Web: http://www.finra.org

Region(s) Served

• National

Locations

• FINRA - Washington DC Office
  1735 K Street,
  Washington, DC 20006
  Phone: (301) 590-6500
  Web: http://www.finra.org/
  …

Related Programs

Keywords