Finra is dedicated to the protection of investors and to the protection of the integrity, efficiency and regulations of the securities brokers.
Finra is not an agency of the United States Government, but a non-profit organization authorized by Congress to protect investors by ensuring that the brokerage and broker industry works properly.
As Opera Finra:
- Drafting and applying the rules governing the activities of broker firms and those registered in the U.S.
- Examining and regulating signatures under these rules
- Promoting market transparency
- Educating investors
FINRA regulations in the United States play a decisive role by applying the procedural rules that Finra manages and applies, thus enhancing the security of the system and the integrity of the market, all without a cost to Taxpayers.
Investors in the U.S. support: fair and equitable financial markets and this is why FINRA is directly concerned with:
- That every investor gets the protection he deserves
- That each person who sells or manages values has been tested, is qualified and has a license
- All advertising related to values has been crowded and true.
- As a regulatory activity in 2017 and through surveillance, 1369 disciplinary actions were achieved
- The technology in Finra has been of vital importance to protect investors, through:
- Effective observance of securities brokerage firms
- Effective monitoring of the stock market in the USA
- Keeping investors well informed through communication tools such as Brokercheck
