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Creating Opportunity Together

FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers.

We are a not-for-profit organization that – working under the supervision of the SEC – actively engages with and provides essential tools for investors, member firms and policymakers. Because of these deep relationships and together with our stakeholders, we work towards finding common solutions to create a regulatory environment that promotes collaboration, innovation, and fairness. We do this so that investors are safe, while having the opportunity to participate in America’s capital markets.

BrokerCheck is a free tool to research the background and experience of financial brokers, advisers and firms.

By clicking on a match or otherwise using BrokerCheck® I agree to BrokerCheck® Terms of Use.

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Working to Advance Racial Justice

FINRA categorically rejects racism and discrimination of any kind. Learn how we’re taking action to promote diversity, equity and inclusion (DEI) within our organization, our industry and in our communities.

 
 


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