Financial Industry Regulatory Authority, Inc. | |
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Predecessor | National Association of Securities Dealers (1939–2007) |
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Founded | July 30, 2007[1] |
Headquarters | Washington, D.C., United States |
Key people |
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Budget | US$1.4 billion (2023)[3] |
Employees | 4,200 (2023)[4] |
Website | finra |
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).