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The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our...

A vibrant market is at its best when it works for everyone. Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA...

The National Adjudicatory Council (NAC), has developed the FINRA Sanction Guidelines for use by the various bodies adjudicating disciplinary decisions,...

FINOP Focus: SEA Rule 15c3-3 Exemptions and ReportingFeb. 231 – 1:35 p.m. ETLearn MoreCombating the Adversarial Use of GenAIFeb. 242 – 3 p.m. ETLearn...

View live Activision Blizzard, Inc. 4.5% 15-JUN-2047 chart to track the latest bond price changes. Find ATVI4499883 forecasts and the bond market news.

Many financial firms offer both brokerage and investment advisory services. If a firm provides both types of services, you might be able to choose between...

Identity theft occurs when someone obtains your personal information and uses it to take your money or to commit fraud or other crimes. It can devastate your...

The FINRA Entitlement Program provides a secure way for firms to access many of FINRA’s web-based systems.

FINRA API Developer Center Build automated compliance solutions faster and easier than ever before. fileX fileX is a centralized, secure file transfer platform...

FINRA's latest news releases, podcasts, reports and studies, and more.

On This PageReporting ToolsImprovement InitiativesReporting ToolsFINRA operates systems that help member firms comply with reporting requirements and...

Whether on-base or deployed overseas, it is crucial that military service members have access to financial education information that enables them to make...

Many financial scams involve unregistered or unlicensed individuals, or the sale of unregistered investments. That's why it’s particularly important to ask...

Investment fraud comes in many forms, often involving opportunities and offers that seem compelling. To avoid being drawn into a scam, keep your guard up and...

Browse investing articles and stock analysis by FINRA Staff. Get expert financial insights and investment advice from The Motley Fool.

Mutual funds pool the money of many investors, who buy shares of the funds, to purchase a range of securities to meet specified objectives, such as growth,...

FINRA provides a template for small firms (Word format 164 KB) to assist them in fulfilling their responsibilities to establish the Anti-Money Laundering...

In this third and final episode in our series covering FINRA's ongoing crypto asset regulatory work, we hear from FINRA's Blockchain Lab, which...

When FINRA determines that violations of securities rules have occurred and formal disciplinary action is necessary, the Enforcement Department files a...

FINRA’s member firms have long been at the forefront of utilizing innovative technologies to better serve their clients and support vibrant capital markets....

Jun 27, 2024 - Call (855) 550-8300 - Learn how our FINRA arbitration attorneys can effectively represent you in cases involving securities and investments.

Learn about common fraud tactics and scams and how to avoid them; how to check registration for sellers and investments; and what questions to ask to protect...

Your brokerage account statement is a valuable source of information about your investment accounts and opportunity to spot mistakes or potential misconduct....

FINRA employs advanced technology to monitor the markets and regulated firms. Our systems help firms comply with applicable regulations.Advertising Regulation...

Disclaimer: We are providing instructions on how to use your browser to assist you in reading FINRA’s website in languages other than English. These are...

Suitable investment strategies can vary from person to person based upon age, income, assets, risk tolerance, family obligations, lifestyle and other factors....

Satisfy your Firm Element continuing education requirements through FINRA’s e-learning portal.

Disclaimer: We are providing instructions on how to use your browser to assist you in reading FINRA’s website in languages other than English. These are...

View live Ford Motor Company 9.98% 15-FEB-2047 chart to track the latest bond price changes. Find F.GU forecasts and the bond market news.

Keep informed about new or complex products, scams and other investing issues.

View live Credit Suisse Group AG 9.016% 15-NOV-2033 chart to track the latest bond price changes. Find CS5501682 forecasts and the bond market news.

The National Adjudicatory Council (NAC), has developed the FINRA Sanction Guidelines for use by the various bodies adjudicating disciplinary decisions,...

The 2026 FINRA Annual Regulatory Oversight Report provides FINRA member firms with insight into findings from FINRA’s regulatory operations programs.

Investing in commodities is a way to potentially add diversification to an investment portfolio. Commodities, commodity futures, and related mutual funds and...

Nov 25, 2025 - James Eugene Holmes also traded in at least five customers’ accounts without prior authorization, the regulator states.

Protecting investors means protecting their data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a cybersecurity program...

FINRA Gateway Reports—previously referred to as Dynamic Reporting—helps firm staff answer common questions and make informed decisions using FINRA data....

The failure of a firm might understandably cause some anxiety for its customers. However, should your firm cease operations, you shouldn’t panic: In...

(Presentar una queja)Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take...

A resource where small broker-dealer firms can get help navigating FINRA’s systems and resources. Call (833) 26-FINRA (833-263-4672) Monday – Friday 8 a.m. – 6...

It’s important to keep your guard up and educate yourself about the red flags of fraud and how to protect yourself. Learning to recognize scammers’ techniques...

Sep 3, 2025 - Research briefs explore the relationship between transportation costs and financial stability SaverLife and the FINRA Investor Education Foundation (FINRA...

FINRA Forward represents our commitment to evolving with the changing securities industry. As markets transform, we're adapting our approach to pursuing our...

FINRA, the self-regulator of broker-dealers, protects investors, promotes capital formation and safeguards the markets – all at no cost to American taxpayers.

FINRA Extends Comment Periods for Rule Modernization Notices 25-04, 25-06 and 25-07.

The FINRA Securities Helpline for Seniors is a toll-free number that senior investors can call to get assistance from FINRA or raise concerns about issues with...

To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities...

Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, including but not limited to: advising companies and private equity...

Our member firms have routinely identified flexible access to data and FINRA analyses as a critical need when striving to avoid regulatory issues and lower...

The ways in which people communicate have changed with advancements in technology, and so have the tactics of “cold calling” boiler rooms. Today’s boiler...

FINRA is working toward a new consolidated rulebook, which seeks not only to harmonize and streamline existing rules, but also to give consideration to the...

FINRA believes that it is appropriate, after a reasonable period of time, to look back at its significant rulemakings to determine whether a FINRA rule or rule...

FINRA’s Crypto and Blockchain Education Program is designed to equip financial professionals with a comprehensive education to understand crypto assets and...

Dec 23, 2025 - The Financial Industry Regulatory Authority is a self-regulatory NGO that creates and implements rules that govern registered brokers and broker-dealer...

Bitcoin is a peer-to-peer payment system that uses its own currency, called bitcoin, to transact business around the world. Bitcoins are not issued by banks or...

(Presentar una queja)Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take...

Setting goals help us meet life’s major objectives, from staying healthy to retiring with a well-feathered nest egg. Investment goals provide structure and...

Twenty years after its last major update, FINRA’s Central Registration and Depository (CRD) system, the backbone of BrokerCheck, is getting a facelift. On...

Offers from people or organizations who claim they can help you recover money lost from previous fraud can be tempting. But these offers, which want you to pay...

The landscape of types of investment products is quite broad, and extends well beyond stocks, bonds and mutual funds, which are familiar to many investors....

Use FINRA’s Tools and Calculators to help you make informed financial decisions based on your own personal circumstances and financial needs.

Most mutual funds and ETFs pool investor money to buy individual assets. Funds of funds are different—they invest in other funds, which can provide greater...

The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program provides compliance, legal and regulatory professionals with...

Dec 9, 2025 - Listen to FINRA's FINRA Unscripted podcast on Apple Podcasts.

General overview of the rule making process.

Tresorit helps ensure FINRA compliance by providing secure cloud storage and collaboration solutions for firms, protecting investor data

View live UnitedHealth Group Incorporated 4.75% 15-JUL-2026 chart to track the latest bond price changes. Find UNH5856551 forecasts and the bond market news.

Dec 3, 2025 - FINRA study shows new investors fell from 21% in 2021 to just 8% in 2024 as younger adults exit markets amid knowledge gaps.

Engagement is a two-way street at FINRA. On this episode of FINRA Unscripted, two regional committee members speak with FINRA's Kayte Toczylowski about...

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Smishing is a fraud tactic in which scammers send unsolicited messages to targets over short message service (SMS), or text messages. Messages might appear to...

From cybersecurity to new product review, the FINRA Peer-2-Peer Compliance Library is a one-stop source for templates, checklists and other materials provided...

Last modified: November 9, 2023The use of the FINRA.ORG site, including all of its content (“FINRA Website”), is conditioned upon the acceptance by you (“End...

Aug 26, 2025 - Joseph Kelly of Spartan Capital Securities excessively effected transactions in the accounts of four retail customers, FINRA found.

I. IntroductionFINRA, a not-for-profit organization, is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates...

Your First Step to a Career in the Securities IndustryOn This PageOverviewEnrollment OptionsContent OutlineBenefitsAfter You Pass the SIESIE Reimbursement for...

FINRA E-Bill is an online billing system through which firms can review invoices and submit payment via wire transfer or ACH (or online by credit card). E-Bill...

Go beyond stocks and bonds, and explore alternative investments for enhanced returns and diversified portfolios. Understand the risks before you dive in.

Throughout your securities industry career, FINRA, other regulatory organizations and your employer collect and maintain a variety of information. Learn about...

The 2026 FINRA Annual Regulatory Oversight Report provides FINRA member firms with insight into findings from FINRA’s regulatory operations programs.

Options are complex instruments that can play a number of different roles within an investment portfolio, but buying and selling options can be risky, and...