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Financial Industry Regulatory Authority
American financial self-regulatory organization
Financial Industry Regulatory Authority
The Financial Industry Regulatory Authority, Inc. (FINRA) is a private, non-governmental 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 United States Securities and Exchange Commission (SEC) is the federal government agency that serves as the ultimate regulator of the United States securities industry, including oversight of FINRA.
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