FINRA serves as the essential foundation for a vibrant and fair market by ensuring integrity and investor protection. We provide deep expertise, leading technology, and extensive market intelligence to act as the first line of oversight for the brokerage industry.

We enforce comprehensive rules, conduct rigorous examinations, and manage critical reporting systems (like CAT and TRACE) across all financial products, from bonds and ETFs to retirement accounts. FINRA safeguards investors by promoting collaboration, ensuring transparency, and providing tools that enable all participants—firms, brokers, and individuals—to trade confidently in the U.S. capital markets.