Self-Regulatory Organization

1 Posts
1 Sections
1 Types

August 25, 2024 3 min read Definitions

Financial Industry Regulatory Authority (FINRA): Securities Regulation and Oversight

Finance Banking FINRA Securities Regulation Self-Regulatory Organization NASD NYSE

The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) that serves as the largest non-governmental regulator of securities firms in the United States. Created in 2007 through the consolidation of the NASD and NYSE's regulatory functions, FINRA oversees brokerage firms, branch offices, and registered securities representatives.