Back هيئة تنظيم الصناعة المالية الأمريكية Arabic Financial Industry Regulatory Authority German Financial Industry Regulatory Authority Spanish سازمان تنظیم مقررات صنعت مالی Persian Financial Industry Regulatory Authority French NASD ID Financial Industry Regulatory Authority NB FINRA Russian
Financial Industry Regulatory Authority, Inc. | |
 | |
| Predecessor | National Association of Securities Dealers (1939–2007) |
|---|---|
| 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).
- ^ "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).