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A vibrant market is at its best when it works for everyone. | FINRA.org
https://www.finra.org/
WebLearn how the Financial Industry Regulatory Authority (FINRA) ensures a fair market with regulations, essential tools and resources for investors and pros. A vibrant market is at its best when it works for everyone. | FINRA.org
DA: 90 PA: 51 MOZ Rank: 4
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About FINRA
https://www.finra.org/about
WebWe Play a Big Role. FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers across the country—and analyze billions of daily market events.
DA: 75 PA: 12 MOZ Rank: 63
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Registration, Exams and CE - FINRA.org
https://www.finra.org/registration-exams-ce
WebFINRA-certified brokers have registered and undergone stringent Qualification Exams. They are also required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained.
DA: 63 PA: 5 MOZ Rank: 37
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What We Do | FINRA.org
https://www.finra.org/about/what-we-do
WebWhat We Do. FINRA plays a critical role in ensuring the integrity of America’s financial system—all at no cost to taxpayers. Working under the supervision of the Securities and Exchange Commission, we: Write and enforce rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S.;
DA: 91 PA: 30 MOZ Rank: 67
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For Investors - FINRA.org
https://www.finra.org/investors
WebFINRA is here to guide you through the investment process so you can make smart financial decisions. We offer tips to help you manage your personal finances and set sound financial goals—and we explain in plain language key investing concepts, different types of investments and investment professionals, and questions to ask.
DA: 97 PA: 36 MOZ Rank: 2
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BrokerCheck - Find a broker, investment or financial advisor
https://brokercheck.finra.org/
WebBrokerCheck - Find a broker, investment or financial advisor. BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
DA: 3 PA: 42 MOZ Rank: 18
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Rules & Guidance - FINRA.org
https://www.finra.org/rules-guidance
WebFINRA’s rules and guidance strive to protect investors and ensure the integrity of today’s rapidly evolving market. FINRA is here to help keep investors and their investments safe. To ensure this protection, we enact rules and publish guidance for securities firms and brokers.
DA: 6 PA: 5 MOZ Rank: 23
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Filing & Reporting - FINRA.org
https://www.finra.org/filing-reporting
WebFINRA systems now report scheduled and unexpected system outages or disruptions, as well as any known workaround or resolution information as it’s discovered. Check System Status Upcoming Filing Due Dates
DA: 36 PA: 16 MOZ Rank: 59
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Guidance | FINRA.org
https://www.finra.org/rules-guidance/guidance
WebGuidance. We offer guidance to firms in the form of podcasts, webinars, FAQs, reports, and more. Use the toggle below to find guidance by topic, type or date. By Topic By Date.
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Financial Industry Regulatory Authority - Wikipedia
https://en.wikipedia.org/wiki/Financial_Industry_Regulatory_Authority
WebOverview. The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. As of October 2023, FINRA oversaw 3,394 brokerage firms, 149,887 ...
DA: 15 PA: 69 MOZ Rank: 5
