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FINRA (Financial Industry Regulatory Authority)

  • October 17, 2021
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Authorized by Congress, FINRA is the largest independent securities regulator in the U.S., whose primary role is to protect investors by maintaining the fairness of the U.S. capital markets. This is done by writing and enforcing rules governing the activities of more than 4,190 securities firms with approximately 634,950 brokers; examining firms for compliance with those rules; fostering market transparency; and educating investors.