FALVEY MEMORIAL LIBRARY

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Financial Industry Regulatory Agency (FINRA)

Financial Industry Regulatory Agency (FINRA)
FINRA is empowered by Congress to do the following:

  • writing and enforcing rules governing the activities of more than 4,145 securities firms with approximately 635,835 brokers;
  • examining firms for compliance with those rules;
  • fostering market transparency; and
  • educating investors.

 


 


Last Modified: 2018-03-13 14:50:29