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What is FINRA?

FINRA stands for Financial Industry Regulatory Authority, and they regulate securities firms in the United States.

FINRA has no political affiliation and is charged with governing all business dealings conducted between dealers, brokers and all public investors. In other words, the rules that dictate how your financial advisor interacts with you are set forth by FINRA.

In all, FINRA oversees more than 4,500 brokerage firms, approximately 160,000 branch offices and more than half a million registered securities representatives, as of 2016.

What is the Investment Advisor Registration Depository (IARD)?
What is the Federal Trade Commission (FTC)?

Keywords: financial advisors, brokerages, FINRA, broker-dealers,