Financial Industry Regulatory Authority (FINRA)
The Financial Industry Regulatory Authority (FINRA) was created in July 2007
through the consolidation of the
NASD and the member regulation enforcement & arbitration functions of the
New York Stock Exchange (NYSE). FINRA
is dedicated to investor protection and market integrity through effective and
efficient regulation and complementary compliance and technology-based services.
FINRA is the largest non-governmental regulator for all securities firms doing business in the United States,
overseeing nearly 5,100 brokerage firms, about 174,000 branch offices and more than 672,000 registered securities representatives.
Back to the top of the page for Estate Tax