Financial Industry Regulatory Authority information
American financial self-regulatory organization
FINRA
Financial Industry Regulatory Authority, Inc.
Predecessor
National Association of Securities Dealers (1939–2007)
Founded
July 30, 2007; 16 years ago (2007-07-30)[1]
Headquarters
Washington, D.C., United States
Key people
Robert W. Cook (President & CEO)
Eric Noll (Chairperson)
[2]
Budget
US$1.4 billion (2023)[3]
Employees
4,200 (2023)[4]
Website
finra.org
The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets. FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) as well as to the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. The U.S. government agency that acts as the ultimate regulator of the U.S. securities industry, including FINRA, is the U.S. Securities and Exchange Commission (SEC).
^"NASD and NYSE Member Regulation Combine to Form the Financial Industry Regulatory Authority – FINRA". FINRA.org. Archived from the original on 2009-11-24.
^"FINRA Board of Governors | FINRA.org". finra.org. Retrieved 2023-10-25.
^"FINRA 2023 Annual Budget Summary" (PDF).
^"FINRA 2023 Annual Budget Summary" (PDF).
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