FINRA

Financial Industry Regulatory Authority

FINRA is a private, self-regulatory organization that oversees broker-dealers and their registered representatives in the United States.

Created in 2007 through the merger of NASD and NYSE regulatory functions, FINRA writes and enforces rules governing broker-dealer firms, examines firms for compliance, and operates the largest securities dispute resolution forum. It is overseen by the SEC but is not a government agency. In Canada, a comparable self-regulatory body is CIRO.

Related Terms

SEC

Securities and Exchange Commission

SEC is the U.S. federal agency responsible for enforcing securities laws, regulating securities mark...

NACHA

National Automated Clearing House Association

NACHA is the organization that governs the ACH network in the United States, setting the rules and s...

Need to convert bank statements to spreadsheet format? Try our bank pdf to excel converter to easily export your transaction data to Excel or CSV.

Glossary home

Convert 10 pages free per week.
Try your weirdest statement.

Convert a bank statement PDF free