FINRA

FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets... FINRA is authorized by Congress to protect America's investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers across the country-and analyze billions of daily market events... In response to the March 2017 Special Notice on Engagement as part of FINRA360, FINRA received a number of comments and suggestions regarding the effectiveness of communications with and education of firms, including ways in which FINRA could enhance its engagement with member firms. After careful review of the comments and suggestions received, FINRA is taking a number of actions aimed at improvements in these areas.

Primary location: Washington United States