FINRA

FINRA is the self-regulatory organisation for US broker-dealers. It runs cross-venue equity surveillance, brings its own disciplinary actions, and refers matters to the SEC.

law and enforcement · updated 2026-09-08

See also

• Self-regulatory organisation — A self-regulatory organisation is an industry body with delegated authority to write and enforce rules for its members, subject to…
• Industry bar — An industry bar prohibits association with a broker-dealer, investment adviser or other regulated firm. It is imposed administrati…

Terms that refer here

Industry bar · Self-regulatory organisation

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