FINRA Materials

Overview

The Financial Industry Regulatory Authority (better known as "FINRA") is the principal self-regulatory organization responsible for the oversight of broker-dealers. Virtually all broker-dealers are required to become members of FINRA and are subject to to its rules (though there are limited carve-outs for certain firms that trade only on exchanges and for over-the-counter derivatives dealers.

The left hand side of the page provides links to the provisions of the SEA establishing and governing FINRA, as well as to the FINRA Rules and By-Laws. On the bottom left are handy external links, including to BrokerCheck. The top right of this page, under Developments, has FINRA regulatory news, as well as our Change Management Tracker for FINRA. Further down the right-hand side of the page are the regulatory materials published by and the enforcement actions brought by FINRA.

To research individual FINRA Rules, go to the FINRA Rule by Rule Focus Page. To research broker-dealer requirements by concept, go to the Topic dropdown at the top of the site.