FINRA

FINRA, the Financial Industry Regulatory Authority, serves a crucial role in the financial market by promoting investor protection and ensuring market integrity. It operates as a not-for-profit, self-regulatory organization with an 85-year history. Through its regulatory oversight activities, FINRA aims to maintain a fair and transparent marketplace for all participants.

One of FINRA's key functions is providing industry professionals with tools and resources to fulfill their compliance requirements. From enabling registered representatives to manage their CRD records to offering a platform for arbitration and mediation case participants, FINRA supports various stakeholders in meeting regulatory obligations efficiently.

Additionally, FINRA actively works to combat financial crimes like money laundering and insider trading. Its initiatives, such as the Insider Trading Detection Program and the Crypto Hub, demonstrate a commitment to maintaining the integrity of U.S. markets. By sharing industry insights and facilitating regulatory actions, FINRA contributes to a more secure and trustworthy financial environment.

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