Finra
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About Finra
FINRA.org provides resources and information for the financial industry, including regulatory oversight, compliance tools, and educational resources for professionals. Users can access data, check disciplinary actions, and find information on registration and exams.
Access regulatory information and compliance tools for the financial industry.
What You Can Do
- Search for broker and firm information
- Access regulatory filings and reports
- Fulfill continuing education requirements
- View disciplinary actions and sanctions
- Manage compliance tasks for firms
Frequently Asked Questions
What is FINRA?
FINRA is a non-profit organization that regulates member brokerage firms and exchange markets.
How can I check a broker's background?
You can use the BrokerCheck tool on FINRA.org to look up a broker's professional history and disciplinary actions.
What resources does FINRA provide for industry professionals?
FINRA offers tools for compliance, continuing education, and access to regulatory data.
How do I file a complaint against a broker?
You can file a complaint through the FINRA website, where you will find guidance on the process.
Are there any fees for using FINRA's services?
Most of FINRA's resources are available for free, but some specific services may have associated fees.