Home

MEDIA CENTER

MEDIA CENTER

MEDIA CENTER

Cover Image

Report / Study

2022 Report on FINRA’s Examination and Risk Monitoring Program
Featured

News Release

New FINRA Report: Diversity of Cloud Computing Models Among Broker-Dealers Raises Opportunities and Challenges for the Securities Industry

Diversity & Inclusion Report – 2020 Year in Review

Report / Study

Diversity & Inclusion Report - 2020 Year in Review

Data Stream

Speech / Testimony

Statement Before the Financial Services Committee U.S. House of Representatives

Latest Posts

Fostering Engagement
FINRA Annual Conference: Fireside Chat with Eileen Murray
On the Front Lines of Investor Protection
FINRA Fines Wefunder $1.4 Million for Crowdfunding Rule Violations; StartEngine Capital Separately Fined $350,000
On the Front Lines of Investor Protection
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
Fostering Engagement
FINRA Publishes 2022 Industry Snapshot
On the Front Lines of Investor Protection
A Reflection on the Research Brief: Financial Education Matters
On the Front Lines of Investor Protection
Encore | FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families
Fostering Engagement
FINRA Seeks Advisory Committee Members
On the Front Lines of Investor Protection
FINRA Extended Hearing Panel Expels Alpine Securities; Orders Alpine to Pay $2.3 Million in Restitution to Customers
On the Front Lines of Investor Protection
Fraud Stoppers: FINRA’s Market Investigations Team
Facilitating Compliance
FINRA Issues Reminder About the Scope of Chief Compliance Officer Supervisory Liability
Fostering Engagement
Report From FINRA Board of Governors Meeting – March 2022
Facilitating Compliance
Report on FINRA’s Examination and Risk Monitoring Program | A Comprehensive Reference Item for Firms
Advancing Market Transparency and Regulation
Celebrating 100: FINRA Unscripted's Greatest Hits
On the Front Lines of Investor Protection
FINRA Hires Firm to Conduct Independent Review of Arbitrator Selection Process
Facilitating Compliance
FINRA Publishes 2022 Report on Exam and Risk Monitoring Program
On the Front Lines of Investor Protection
From NCFC to Member Supervision Head: Reintroducing Greg Ruppert
Advancing Market Transparency and Regulation
Deep Learning: The Future of the Market Manipulation Surveillance Program
On the Front Lines of Investor Protection
FINRA Fines Credit Suisse Securities $9 Million for Multiple Operational Failures
On the Front Lines of Investor Protection
Testimony Before the Senate Special Committee on Aging
On the Front Lines of Investor Protection
Encore | At, By or Through: Fraud in the Broker-Dealer Industry

FINRA on Twitter

FINRA

Media Kits

FINRA Resources

FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets.

News Releases
Podcasts
Reports & Studies
Statistics
About FINRA

Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence. 

  • every investor receives the basic protections they deserve;
  • anyone who sells a securities product has been tested, qualified and licensed;
  • every securities product advertisement used is truthful, and not misleading;
  • any securities product sold to an investor is suitable for that investor's needs; and
  • investors receive complete disclosure about the investment product before purchase.
About FINRA

Follow FINRA

           

Media Inquiry?

Contact [email protected].